Skip to main content

Full text of "North Carolina Register v. 1 no. 12 (3/16/1987)"

See other formats


a.x t6^ 









L\BH 



A«t 



The 
NORTH CAROLINA 

REGISTER 



IN THIS ISSUE 



EXECUTIVE ORDERS 

ADMINISTRATIVE ORDERS 

PROPOSED RULES 
Administration 
Agriculture 
Human Resources 
Labor 
NR&CD 

FINAL RULES 
Corrections 

LIST OF RULES AFFECTED 



ISSUE DATE: MARCH 16, 1987 
Volume 1 • Issue 12 • Pages 807-847 



INFORMATION ABOUT THE NORTH CAROLINA REGISTER AND ADMINISTRATIVE CODE 



i 



NORTH CAROLINA REGISTER 

The Nonh Carolina Register is published monthly and 
contains information relating to agency, executive, legislative and 
judicial actions required by or affecting Chapter I50B of the 
General Statutes All proposed administrative rules and amend- 
ments filed under Chapter I50B must be published in the Register. 
The Register will typically comprise approximatelv one hundred 
pages per issue of legal text. 

State law requires that a copy of each issue be provided free 
of charge to each county in the state and lo various stale officials 
and institutions. The North Carolina Register is available by 
yearly subscription at a cost of ninety-five dollars ($95 00) for 
12 issues 

Requests for subscription to the North Carolina Register should 
be directed to the Office of Administrative Hearings. P. O. 
Drawer 11666, Raleigh. N C. 27604. Attn Subscriptions. 



ADOPTION, AMENDMENT, AND REPEAL OF RLLES 

An agency intending to adopt, amend, or repeal a rule must 
first publish notice of the proposed action in the North Carolina 
Register The notice must include a reference to the Statutory 
Authority for the action; the time and place of the public hearing 
and a statement of how public comments may be submitted to 
the agency either at the hearing or otherwise; the text of the 
proposed rule or amendment; and the proposed effective date. 

The Director of the Office of Administrative Hearings has 
authority to publish a summary, rather than the full text, of any 
amendment which is considered to be too lengthy In such case, 
the full text of the rule containing the proposed amendment will 
be available for public inspection at the Rules Division of the 
Office of Administrative Hearings and at the office of the 
promulgating agency 

Following publication of the proposal in the North Carolina 
/Register, at least 60 days must elapse before the agency may take 
action on the proposed adoption, amendment or repeal 

When final action is taken, the promulgating agency must file 
any adopted or amended rule with the Office of .Administrative 
Hearings. If it differs substantially from the proposed form 
published as part of the public notice, the adopted version will 
again be published in the North Carolina Register 

A rule, or amended rule, cannot become effective earlier than 
the first day of the second calendar month after the adoption is 
filed. 

Proposed action on rules may be withdrawn b\ the pro- 
mulgating agency at any time before final action is taken by the 
agency. 



TEMPORARY RULES 

Under certain conditions of an emergency nature, some 
agencies may issue temporary rules A temporary rule becomes 
effective when adopted and remains in effect for the period 
specified in the rule or 120 days, whichever is less. .An agency 
adopting a temporary rule must begin norma! rule-making 
procedures on the permanent rule at the same time the temporary 
rule is adopted. 



NORTH CAROLINA ADMINISTRATIVE CODE 

The Nonh Carolina Administrative Code (NCAC) is a 
compilation and index of the administrative rules of 25 state 
agencies and .^8 occupational licensing boards The NCAC 
comprises approximately l.S.OOO letter size, single spaced pages 
of material of which approximately ^S'^t is changed annually. 
Compilation and publication of the NCAC is mandated by G.S 
l50B-63(b). 

The Code is divided into Titles and Chapters Each state agency 
IS assigned a separate (itlc which is funher broken down by 
chapters. Title 2 I is dcsigna;ed lor (Kcupational licensing boards. 

The NCAC is available in two I'ormats. 

( 1 ) In looseleaf pages at a minimum cost of two dollars and 
50 cents ($2 50) for 10 pages or less, plus fifteen cents 
($0 15) per each additmnal page 

(2) On microfiche The microfiche edition is revised semi- 
annually (March and October) and can be purchased for 
fonv dollars (S40 (X)) per edition. Due to the volume 
of the Code, the complete copy can only be purchased on 
microfiche The NCAC on microfiche is updated 
monthly by publication of a "List of Rules Affected" 
which ids out rules filed the previous month, the action 
taken, and the effective date of the change This list is 
published in the North Carolina Register 

Requests for looseleaf pages of rules or the NCAC on 
microfiche should be directed to the Office of Administrative 
Hearings 



NOTE 

The foregoing is a generalized statement of the procedures to 
be followed For specific statutory language, it is suggested that 
Anicles 2 and 5 of Chapter 1508 of the General Statutes by 
examined carefully. 



CITATION TO THE NORTH CAROLINA REGISTER 

The North Carolina Register is cited by volume, issue, page 
number and date 1:1 NCR 101-201, April 1, 1986 refers to 
Volume 1 . Issue 1. pages 101 through 201 of the North Carolina 
Register issued on April 1. 1986. 



.North Carolina Register Published monthly by the 
Office of Administrative Hearings. P O Drawer 11666, 
Raleigh, North Carolina 27604, pursuant to Chapter 150B 
of the General Statutes Subscriptions ninety-five dollars 
($95 00) per year. 

North Carolina Administrative Code Published in 
March and October by the Office of Administrative 
Hearings. P. O. Drawer 1 1666, Raleigh, Nonh Carolina 
27604, pursuant to Chapter 150B of the General Statutes. 
Subscriptions forty dollars ($40.00) per edition. 



NORTH CAROLINA REGISTER 




Office of Administrative Hearings 
P. 0. Drawer 11666 
Raleigh, NC 27604 
(919) 733 - 2678 



Staff: 

Robert A. Melott, 

Director 
James R. Scarcella, 

Deputy Director 
Molly Mason, 

Assistant Director 
Ruby Creech, 

Publications Coordinator 
Mary Fowler, 

Editorial Assistant 
Teresa Johnson, 

Editorial Assistant 
Tammy Poole, 

Records Clerk 



ISSUE CONTENTS 



EXECUTIVE ORDERS 
Executive Orders 32-33 



807 



II. ADMINISTRATIVE ORDERS 
Appointment of 
Delores Del Gaudio Nesnow. 809 



III. PROPOSED RULES 
Administrat ion 

Clean Water Bond Act . . .810 
Agriculture 

Food and Drug 810 

Pesticide Board 811 

Human Resources 

Health Services 811 

Labor 

Elevator Division .... 816 
NRaCD 

Community Assistance . . . 831 



IV. FINAL RULES 
Corrections 
Prisons 836 

V. LIST OF RULES AFFECTED 

Volume n. No. 5 840 

(March 1, 1987) 

VI. CUMULATIVE INDEX 844 



NORTH CAROLINA REGISTER 
Publication Deadlines and Schedules 
(April 1986 - March 1987) 



Issue 


Last Day 


Last Day 


Earliest 


Earliest 


X 


Date 


for 


for 


Date for 


Date for 


Earliest 




Filing 


Electronic 


Public 


Adoption 


Effective 






Filing 


Hearing 


by Agency 


Date 


12/15/86 


11/25/86 


12/02/86 


01/14/87 


02/13/87 


05/01/87 


01/15/87 


12/29/86 


01/05/87 


02/14/87 


03/16/87 


06/01/87 


02/16/87 


01/26/87 


02/02/87 


03/18/87 


04/17/87 


07/01/87 


03/16/87 


02/23/87 


03/02/87 


04/15/87 


05/15/87 


08/01/87 


04/15/87 


03/26/87 


04/02/67 


05/15/87 


06/14/87 


09/01/87 


05/15/87 


04/27/87 


05/04/87 


06/14/87 


07/14/87 


10/01/87 


06/15/87 


05/26/87 


06/02/87 


07/15/87 


08/14/87 


11/01/87 


07/15/87 


06/25/87 


07/02/87 


08/14/87 


09/13/87 


12/01/87 


08/14/87 


07/27/87 


08/03/87 


09/13/87 


10/13/87 


01/01/88 


09/15/87 


08/26/87 


09/02/87 


10/15/87 


11/14/87 


02/01/88 


10/15/87 


09/25/87 


10/02/87 


11/14/87 


12/14/87 


03/01/88 


11/16/87 


10/27/87 


11/03/87 


12/16/87 


01/15/88 


04/01/88 


12/15/87 


11/23/87 


12/02/87 


01/14/88 


02/13/88 


05/01/88 


01/15/88 


12/28/87 


01/04/88 


02/14/88 


03/15/88 


06/01/88 


02/15/88 


01/26/88 


02/02/88 


03/16/88 


04/15/88 


07/01/88 


03/15/88 


02/24/88 


03/02/88 


04/14/88 


05/14/88 


08/01/88 



X The "Earliest Effective Date" was considering the agency files the 
rules with The Administrative Rules Review Cofflmission the same 
calendar month as adoption by agency and ARRC approves the rules at 
the next calendar month meeting. 



EXECUTIVE ORDERS 

EXECUTIVE ORDER NUMBER 32 

GOVERNOR'S LITERACY COUNCIL 



By authority vested in 
me as Governor by the 
Constitution and laws of North 
Carolina, it is ORDERED: 

Section 1 . ESTABLISHMENT 
There is hereby 
established in the Office of the 
Governor, the Governor's 
Literacy Council. The Council 
shall be composed of not less 
than eleven (11) members 
appointed by the Governor to 
serve at the pleasure of the 
Governor. The Governor shall 
designate one (1) of the members 
as chairman. The members 
appointed by the Governor shall 
include the following! 

The President of the Community 
College System, 

The Superintendent of Public 
Instruction, 

The Secretary of the 
Department of Cultural 
Resources, 

A Representative from the 
Employment Security Commission, 

A Representative from the 
North Carolina Literacy 
Council, 

A Representative from the 
North Carolina University 
System, 

A Representative from business 
and industry in North Carolina, 

The President of the 

North Carolina Association of 

Independent Colleges and 

Universities, 

Two Representatives from the 
Governor's Office, and 

A Cabinet Officer from 
the Governor's Cabinet. 

Section 2. FUNCTIONS 

(a) The Council shall 

meet regularly at the call of 
the chairman and will hold 
special meetings at any time at 
the call of the chairman or the 
Governor. The Council is 
authorized to conduct public 
hearings. 

(b) The Council shall 
have the following duties: 



( 1 ) To serve as a 
forum for constituencies 
concerned with adult 
literacy. • 

(2) To facilitate 
coordination of programs and 
linkages between agencies, 
organizations and groups 
concerned with literacy. 

(3) To identify 

issues, problems, and 
solutions for increasing 
literacy in North Carolina. 

(4) To serve as an 
advisory group to the 
Governor on problems and 
recommendations for 
eliminating illiteracy in 
North Carolina. 

(5) To issue a 

report on or proposed 
solutions to state of 
literacy in North Carolina. 

(6) Other duties as 
assigned by the Governor. 

Section 3. ADMINISTRATION 

(a) Support for the 
Council shall be provided by 
such departments and agencies as 
the Governor from time to time 
shall direct . 

(b) Members of the 
Council shall be reimbursed for 
necessary travel and subsistence 
expenses authorized by General 
Statute 138-5. Reimbursements 
of such expenses shall be paid 
by such departments and agencies 
as the Governor from time to 
time shall direct. 

Section 4. IMPLEMENTATION 
AND DURATION 

(a) This order shall be 
effective immediately. 

(b) The Council shall 
dissolve at the pleasure of the 
Governor but no later than 
February 1, 1989. 

This order is effective 
this 16th day of February, 1987. 



EXECUTIVE ORDER NUMBER 33 

AMENDING EXECUTIVE ORDER 
NUMBER ONE ( 1 ) 

EXTENDING EXPIRATION DATE 

OF EXECUTIVE ORDER NUMBER 1 

TO JANUARY 29, 1989 



Executive Order Number 1 
issued on January 31, 1985, and 
amended by Executive Order 
Number 30 expires on January 31, 
1987. It has been made to 
appear that this Executive Order 
should continue in effect. 

NOW, THEREFORE, IT IS 



NORTH CAROLINA REGISTER 



807 



ORDERED that Executive Order This action is effective 
Number 1 dated January 31, 1985, this the 30th day of January, 
is extended for two years up to 1987. 
and through January 29, 1989. 



808 NORTH CAROLINA REGISTER 



ADMINISTRATIVE ORDER 

STATE OF NORTH CAROLINA 
Office of Administrative Hearings 
TO ALL TO WHOM THESE PRESENTS SHALL COME - GREETING: 

I, Robert A. Melott, Reposing special trust and confidence in the 
integrity and knowledge of DOLORES DEL GAUDIO NESNOW, now, by virtue of 
the authority vested in me by law I do hereby appoint her Administrative 
Law Judge and confer upon her all of the rights, privileges and powers 
useful and necessary to the just and proper discharge of her duties. 

In Witness IVhereof, I have hereunto signed my name and affixed the 
Seal of the Office of Administrative Hearings of the State of North 
Carolina, at Raleigh, North Carolina, this the 1st day of March 1987, 



s/Robert A. Melott 

Chief Administrative Law Judge 

Director 



NORTH CAROLINA REGISTER 809 



PROPOSED RULES 

TITLE 1 - DEPARTMENT OF 
ADMINISTRATION 

Notice is hereby given in 
accordance with G.S. 150B-12 
that the Department of 
Administration intends to amend 
regulation cited as 1 NCAC 22 
.0201 . 

The proposed effective date of 
this action is July 1, 1987. 

Statutory Authority: S. L. 1977, 
Ch. 677. 

The public hearing will be 
conducted at 10:00 a.m. on April 
16» 1987 at Ground Floor Hearing 
Room, Archdale Building, 512 N. 
Salisbury St., Raleigh, NC 
27611 . 

Comment Procedures: All persons 
interested in this matter are 
invited to attend. Comments, 
statements, data, and other 
information may be submitted in 
writing prior to, during, or 
within thirty (30) days after 
the hearing or may be presented 
orally at the hearing. Oral 
statements may be limited to 
five (5) minutes at the 
discretion of the hearing 
officer. For further 
information or the submission of 
written comments, contact Patty 
Johnson, DNRCD, P. 0. Box 27687, 
Raleigh, NC 27611 (919) 
733-6376. 



Department of Administration, 
additional funds may be made 
available to the Environmental 
Management Commission or the 
Division of Health Services from 
the contingency account of the 
Clean Water Fund if the Advisory 
Budget Commission determines 
that there are sufficiently 
compelling reasons for providing 
funds for grants, or any portion 
thereof, from the contingency 
account. Gran t isayiueut*. and New 
grants from any uncommitted 
funds which exist as of June 30, 
1982, may be made through June 
30, 1987. 

TITLE 2 - AGRICULTURE 

Notice is hereby given in 
accordance with G.S. 150B-12 
that the N.C. Pesticide Board 
intends to amend and repeal 
regulations cited as 2 NCAC 9L 
.0501, .0517; 27A .0001-.0003i 
27B .0001-. 0002; 27C 
.0001-. 0002; 28A .0001-. 0003; 
28B .0001-. 0002; 28C 
.0001-. 0002. 

The proposed effective date of 
this action is July 1, 1987. 

Statutory Authority: G.S. 
143-434 to 143-470. 



The public 
conducted at 
24, 1987 
Agriculture 



Edenton 
27611 . 



hearing will be 
1:00 p.m. on April 
at Board Room, 
Building, One 



Street, Raleigh, 



NC 



CHAPTER 22 - CLEAN WATER 
BOND ACT 

SECTION .0200 - GRANTS 

.0201 GENERAL 

Subject to the provisions 
governing annual allocation of 
funds set forth in the act, 
grants may be made from the 
pollution control account by the 
Environmental Management 
Commission and from the water 
supply systems account by the 
Division of Health Services to 
assist units of government in 
financing the cost of 
construction of new or the 
improvement or expansion of 
existing wastewater treatment 
works, wastewater collection 
systems and water supply systems 
during the period July 1, 1977, 
through June 30, 1982. If the 
funds allocated for any of these 
fiscal yjars are insufficient, 
upon recommendation of the 
Environmental Management 
Commission or the Division of 
Health Services and the 



Comment Procedures: Data, 
opinion, and argument 
concerning these rule; must be 
submitted to the North Carolina 
Pesticide Board by or on April 
24, 1987. Written comments may 
be mailed directly to Mr. John 
L. Smith, Secretary, North 
Carolina Pesticide Board, P.O. 
Box 27647, Raleigh, NC 27611. 

CHAPTER 9 - FOOD AND DRUG 
PROTECTION DIVISION 

SUBCHAPTER 9L - PESTICIDE 
SECTION 

SECTION .0500 - PESTICIDE 
LICENSES 

.0501 CRITERIA FOR 

PESTICIDE DEALER 
(REPEALED) 

.0517 PASSING GRADES 

Passing grade for the 
examinations will be grade 70. 
and can he changed vt -the 
discr et ion <rf thw board. 



810 



NORTH CAROLINA REGISTER 



CHAPTER 27 - PESTICIDE BOARD 
SUBCHAPTER 27A - ORGANIZATION 

.0001 

.0002 



130A-315; 130A-317; 
and P. L. 93-523. 



143B-193; 



,0003 



FUNCTION OF BOARD 

(REPEALED) 

POWER AND DUTIES OF 

COMMISSIONER OF 

AGRICULTURE (REPEALED) 

BOARD MEMBERS 

(REPEALED) 



SUBCHAPTER 27B - MEETINGS 

.0001 MEETING DATE 

(REPEALED) 
.0002 PLACE OF MEETING 

(REPEALED) 

SUBCHAPTER 27C - REGULATION 
ADOPTION 

.0001 AUTHORITY OF BOARD 

(REPEALED) 
.0002 CITATION OF RULES AND 

REGULATIONS (REPEALED) 



CHAPTER 28 



- PESTICIDE ADVISORY 
COMMITTEE 



SUBCHAPTER 28A - ORGANIZATION 

.0001 BOARD MEMBERS 

(REPEALED) 
.0002 TERMS OF BOARD 

MEMBERS (REPEALED) 
.0003 PER DIEM OF MEMBERS 

(REPEALED) 

SUBCHAPTER 28B - FUNCTIONS 

.0001 ADVISORY CAPACITY 

(REPEALED) 
.0002 ADVISORY CAPACITY! 

SCOPE (REPEALED) 

SUBCHAPTER 28C - MEETINGS 

.0001 SCHEDULING OF 

MEETINGS (REPEALED) 

.0002 LOCATION OF MEETINGS 
(REPEALED) 



TITLE 10 



DEPARTMENT OF HUMAN 
RESOURCES 



Notice is hereby given in 
accordance with G.S. 150B-12 
that the Division of Health 
Services intends to adopt and 
amend regulations cited as 10 
NCAC 4C .0302; 8B .0311 and 
.0610; 8G .0705; 1 OD .0903 and 
.0906; lOF .0001; .0029-. 0034; 
.0041 and .0042. 

The proposed effective date of 
this action is August ^, 1987. 

Statutory Authority: G.S. 
130A-5(3); 130A-124; 130A-127; 
130A-177; 130A-205; 130A-294(c); 



The public hearing will be 
conducted at 1:30 p.m. on April 
15, 1987 at Highway Building, 
Auditorium (First Floor), 1 
South Wilmington Street, 
Raleigh, North Carolina. 

Comment Procedures: Any person 
may request information or 
copies of the proposed rules by 
writing or calling John P. 
Barkley, Agency Legal 
Specialist, Division of Health 
Services, P. 0. Box 2091, 
Raleigh, North 
27602-2091, (919) 



comments 



Carolina 

733-3131 . 

on these 



Written 

subjects may be sent to Mr. 
Barkley at the above address. 
Written and oral (for no more 
than ten minutes) comments on 
these subjects may be presented 
at the hearing. Notice should 
be given to Mr. Barkley at least 
three days prior to the hearing 
if you desire to speak. 

CHAPTER 4 - HEALTH SERVICES: 
OFFICE OF THE DIRECTOR 

SUBCHAPTER 4C - PAYMENT PROGRAMS 

SECTION .0300 - ELIGIBILITY 
PROCEDURES 

.0302 AUTHORIZATIONS AND 
CLAIMS PROCESSING 
TIME FRAMES 

The following time frames shall 
apply to all payment programs: 

-H-)- Regtre-st^ fof auth o r iziat Ion 
wtjst' be receiv e d by -thw 
divis -argn w ithin 3^ days af t er 
initiatio n o^ i>ei. ' vic e s . 

■f£^ A c o mp l g t'gd request for 
autltori^at -jcm shall includ e a 
com pla t e d authoriza t i o n form, 
and a co m pl eted eligibility 
■fxrrvrr and any documentation 
ret?tfis"*<J by "this frafers hapter ■ 

-(-3-)- ?h« division shall appr o v e 
ox deny stn au t horization 
rtrq uest, or requ e s t 

addi t io TtaJ: informa t ion wi t hin 
45 days isf-tve receipt of t h e 

■f4-)- if addi t ional inform at ion 
■is reqt ies t ed t his infor m ation 
mws-t bo receiv e d by th e 
divisi oTi within 30 days of 
the r e q u e st or t+ta 

a nthov igat ion r e quest w^ii be 
atrbont a tic ally d e nied . 

■(-5-J- The division shall approv e 
or deny an auth or izt ion 
reqwes* within 45 days af t er 
r e c e ip t of ttte n e cessa r y 
infill L' i nat ion . 

■f64 A claim for paymen t mus t 
be s tibmitted -to -the division 
warth^js +&& days after 



NORTH CAROLINA REGISTER 



811 



compl e Lion «yf -Hre au t horiz e d 
&jr vii- e > xxr wi t hin 50 days 
after the date o^ 
author izatiai ' i approval by tit« 
divisioiu which e v e r « la te r . 
Exc e p t ■ftrr phaimat-y 
ou t pati e n t s e rvic e claims, a 
c laim -for- paym e n t sliall rtrrb 
b« accept e d unl e ss -rfc 
indicat e s t hat iro o th e r third 
party payui. a are invul v<id> oar 
t ha t aii oth e r third party 
payors hav e m ad e payment < 
danitfd paym e nt, or have been 
billed bu t liav e no t provided 
a d e fini t ive r e spons e within 
&& days aft e r co m pl et i o n «rf 
t+te autl ' ioi. ized sei vic e s . A 
pl - iai.macy outpati e nt servic e 
claim Lliall include an 
accuuiitiiiy of third paym e n t s, 
d e nials o^ paym e n t , arrd t+te 
i;tatus of pe nding tliird par t y 
claims . 

(7 ) Failur e ■to pr o vidn a 

claim -for payntjul -in 
accordanc e wi t h t+te 
provisi o ns of Paragraph -fS-)- 
of tiris Rttie shall r e sul t ±n 
cancellation of the approval 
of ttre autliorlza t i o n r e ques t . 

■f6^ The division shall mak e 
paym e nt to the provid e r 
within 45 days af te r rec e ipt 
of a valid claim for paym e nt 
for au t horiz e d s e rvic e s . 

■(-9-)- The dir e c t or of e ach 

paym e n t pioyram way mak e 
exc e ptions to the provisions 
of Pdiagi aplis -H-)- and 44-)- of 
t his Rul e wli c n justifiabl e 
caus e -ts shown . How e v e r, no 
e xc e p t ion sliall be m ad e "to 
approv e an authorization 
r eq u e s t r e ceiv e d aft e r +fr& 
days from the date service 
was initia te d. 

(10) Requ e sts for 

authorization and claims -for 
paym e n t ■for inpa t i e n t , 
outpatien t , physician, 
d e n t al , and pharmacy s e rvic es 
shall be submi tt ed on forms 
p rovided by -the division atr 
■its princi p al aJdiess . 

(1) Requests for authorization 
must be received by the 
division within 90 davs after 
the date of service. 

(2) The division shall respond 
to an authorization request 
within 45 davs after receipt. 

(3) If additional information 

is requested , this 

information must be received 
within 90 davs after the date 
of service or within 30 davs 
a fter the date of the 
division's request, whichever 
is later. 

(4) The division shall approve 
or deny an authorization 
request within 45 days after 



receipt of the necessary 
information. 
(5) All claims for payment 
must be received by the 
division within 180 days 
after the date of service or 
within 45 days after the date 
of authorization approval. 

whichever is later . 

Corrections to claims and 

requests for payment 

adjustment must be received 
by the division within one 
year after the date of 
service or within 45 days 
after the date the claim is 
paid or returned for 



addit ional 



information. 



whichever is later. 

(6) A claim must show payments 
by other third party payors 
or it must show that all 
other payors have denied 
payment or that there are no 
other payors. Once another 
payor has been billed, if no 
response has been received 
within 80 days after the date 
of service, the provider may 
bill the division, but the 
claim must indicate that the 
other payor has been billed 
and no response has been 

received . Providers of 

pharmacy outpatient services 
are not required to wait 80 
davs before billing the 
division but are required to 
refund the division if other 
third party payments are 
received . 

(7) The division shall make 
payment to the provider 
within 45 days after receipt 
of a completed claim. 

(8) Requests for authorization 
and claims for payment shll 

be submitted on forms 

approved bv the division. 



CHAPTER 8 



HEALTH: PERSONAL 
HEALTH 



SUBCHAPTER 8B - MATERIAL AND 
CHILD HEALTH 

SECTION .0300 - LOCAL HEALTH 

DEPARTMENT PROGRAM 

AND FUNDING 

.0311 CLIENT ELIGIBILITY 
To be eligible for maternal 
and child health ambulatory 
services provided by MCH program 
funds, clients must meet the 
eligibility requirements 
established by the local 
provider. Financial eligibility 
requirements, may not be more 
restrictive than t h o s e 
e stablish e d by the G e n e ral 
Ass e mbly for non m e dicaid and 
nun Kidn e y m e dical pioyiams the 
official poverty line issued 



812 



NORTH CAROLINA REGISTER 



annually by the United States 
Department of Health and Human 
Services ■ 

SECTION .0600 - PEDIATRIC 
PRIMARY CARE PROGRAM 

.0610 CLIENT ELIGIBILITY 
To be eligible for pediatric 
primary care services provided 
by pediatric primary care 
program funds, clients must meet 
the eligibility criteria 
established by the local 
provider. Financial eligibility 
requirements may not be more 
restrictive than t hos e 
e stablish e d by -ttt* Gen e ial 
As& e mbly ftyr n o n m e dicaid and 
itoii kidn e y m e dical piograws the 
official poverty line issued 
annually by the United States 
Department of Health and Human 
Services . 

SUBCHAPTER 8G - PERINATAL CARE 

SECTION .0700 - HIGH RISK 
MATERNITY CLINIC FUNDS AND 
HIGH RISK MATERNITY CLINIC 
REIMBURSEMENT FUNDS ' 

.0705 CLIENT ELIGIBILITY 

(b) To be eligible for 
services provided by a perinatal 
program high risk maternity 
clinic, clients must meet the 
following: 

(1) financial eligibility 
requirements, if any, 
established by the clinic, 
t h e s e r e quir e m e n t s shall no+ 
b« mor e rea tiictiv e t han 
those -in +e NCA O AB These 

financial eligibility 

requircnents may not be more 

restrictive than the 

official poverty line issued 
annually by the United 
States Department of Health 
and Human Services; and 

(2) medical eligibility 
requirements established by 
the clinic. 

SUBCHAPTER 1 OD - WATER 
SUPPLIES 

SECTION .0900 - SUBMISSION 
OF PLANS. SPECIFICATIONS: 
AND REPORTS 

.0903 SUBMISSIONS REQUIRED 
BY ENGINEER AND WATER 
SUPPLIER 
Detailed plans and 
specifications for community 
water sys te m facili t i e s systems 
shall be prepared by a 
professional engineer licensed 
to practice in the State of 
North Carolina. The plans shall 
bear an imprint of the 
registration seal of the 



engineer. Upon completion of 
the construction or modification 
of the community water system 
the water supplier shall submit 
a statement signed by a 
registered professional engineer 

and affixed with his 

professional engineering seal 
stating that construction was 
completed in accordance with 

approved plans and 

specifications and revised only 

in accordance with the 

provisions of .0906 of this 
Section. The statement shall be 
based upon periodic observations 
during and unon completion of 
construction by the engineer or 

a representative of the 

engineer's office who is under 
the engineer's supervision to 
insure the truth of statement. 

.0906 CHANGES IN PLANS OR 
SPECIFICATIONS AFTER 
APPROVAL 
No d e viation Any deviations 
from the approved plan trr and 
specifications shall be made 
unl e ss am e nd e d plans showin g 
such proposed chang e s shall hav e 
b e en submitt e d "to ■tmd appr o v e d 
by the Depa rt m e n t of Human 
Resourc e s . affecting capacity, 
hydraulic conditions, operating 
units, the functioning of water 
treatment processes, the quality 
of water to be delivered, or any 
provisos stipulated in the 

department' s original and 

subsequent letters of approval 
must be approved by the 
department before any deviations 

are made . Revised plans and 

specifications shall be 

submitted to the department in 
time to permit the review and 
approval of such plans or 
specifications by the department 
before any construction work 
affected by such deviations is 
begun. Failure to comply with 
this requirement shall 
invalidate any previous approval 
of plans and specifications. 

SUBCHAPTER 10F - HAZARDOUS WASTE 
MANAGEMENT 

.0001 GENERAL 

(c) 45 Fed Reg. 33,073 (1980) 
[to be codified in 40 CFR 260.1 
to 260.3 (Subpart A)], 
"General," has been adopted by 
reference as amended by 51 Fed 
Reg. 28,682 and 40,636 (1986). 

.0029 IDENTIFICATION AND 

LISTING OF HAZARDOUS 

WASTES - PART 261 

(a) The general provisions 

contained in 45 Fed. Reg. 33,119 

to 33,121 (1980) [to be codified 

in 40 CFR 261.1 to 261.6 



NORTH CAROLINA REGISTER 



813 



(Subpart A)] have been adopted 
by reference as amended by 45 
Fed. Reg. 72,028, 72,037, 
76,620, 76,623, 76,624, and 
78,531 (1980); 46 Fed. Reg. 
56,588, 56,589, 47,429, 44,972, 
44,973 (1981); 48 Fed. Reg. 
2,532, 14,293, 14,294, and 
30,115 (1983); 49 Fed. Reg. 
23,287, and 44,980 (1984); and 
50 Fed. Reg. 663, 664, 665, 
1,999, 14,219, 28,743, 28,744, 
49,202, 49,203, and 33,542, 
(1985); and 51 Fed. Reg. 10,174, 
10,175 25,472, tmi 28,682, 
40,636, and 40,637 (1986). 

(b) The provisions for 
"Residues of Hazardous Waste in 
Empty Containers" contained in 
45 Fed. Reg. 78,529 (1980) Cto 
be codified in 40 CFR 261.7 
(Subpart A)] has been adopted by 
reference as amended by 47 Fed. 
Reg. 36,097 (1982); 48 Fed. Reg. 
14,294 (1983); and 50 Fed. Reg. 
1,999 (1985); and 51 Fed. Reg. 
40,637 (1986). 

.0030 STANDARDS FOR HAZARDOUS 
WASTE GENERATORS - 
PART 262 
(a) The general provisions 
contained in 45 Fed. Reg. 33,142 
and 33,143 (1980) [to be 
codified in 40 CFR 262.10 to 
262.12 (Subpart A)] have been 
adopted by reference as amended 
by 45 Fed. Reg. 86,970 (1980) 
EmH- 47 Fed. Reg. 1,251 (1982); 
and 48 Fed. Reg. 14,294 (1983); 
and 51 Fed. Reg. 40,637 (1986). 

(d) The provisions for 
"Recordkeeping and Reporting" 
contained in 45 Fed. Reg. 33,144 
(1980) [to be codified as 40 CFR 
262.40 to 262.44 (Subpart D)], 
have been adopted by reference 
as amended by 48 Fed. Reg. 
3,981, 3,982, 14,294 (1983): 50 
Fed. Reg. 28,746 (1985); and 51 
Fed. Reg. 10,176 and 28,682 
(1986), except that 40 CFR 
262.40 is not adopted bv 
reference . 

( 1 ) The following shall b e 

substituted for the 

provisions of 40 CFR 262.40 
which were not adopted bv 
reference ; 

"262.40 Recordkeeping, 
(a) A generator must keep 
a copv of each manifest 
signed in accordance with 
Section 262.23(a) for 
three years or until he 
receives a signed copy 



from 



the 



designated 



facility which received 

the waste. Thi.s signed 

copy must be retained as a 
record for at least three 
years from the date the 
waste was accepted by the 
initial transporter. 



(b) A generator must keep 

a copy of each Biennial 

Report and Exception 

Report for a period of at 
least three years from the 
due date of the report. 

(c) A generator must keep 
records of any test 
results, waste analyses, 
or other determinations 
made in accordance with 
Section 262.11 for at 
least three years from the 
date that the waste was 
last sent to on-site or 

off-site treatment , 

storage, or disposal. 

(d) The periods or 
retention referred to in 
this section are extended 
automatically during the 
course of any unresolved 

enforcement action 

regarding the regulated 
activity or as reguested 
by the administrator. 

(e) A generator must keep 
records and results of 
inspections as reguired bv 
Section 262.34 for at 
least three years from the 
date of the inspection." 

.0031 STANDARDS FOR HAZARDOUS 
WASTE TRANSPORTERS - 
PART 263 

(b) The provisions for 
transfer facility requirements 
contained in 45 Fed. Reg. 86,968 
(1980) [to be codified in 40 CFR 
263.12 (Subpart A)] have been 
adopted by reference as amended 
by 48 Fed. Reg. 14,294 (1983) 
and 51 Fed. Reg. 40,637 (1986). 

.0032 STANDARDS FOR OWNERS/ 
OPERATORS OF HWMF'S - 
PART 264 

(c) "General Facility 
Standards" contained in 45 Fed. 
Reg. 33,222 to 33,224 (1980) [to 
be codified in 40 CFR 264.10 to 
264.18 (Subpart B)] have been 
adopted by reference as amended 
by 46 Fed. Reg. 2,848, 2,849, 
2,874, and 7,678 (1981); 47 Fed. 
Reg. 32,349 and 32,350 (1982); 
48 Fed. Reg. 14,294 (1983); 50 
Fed. Reg. 18,374 and 28,746 
(1985); and 51 Fed. Reg. 25,472 
and 40,637 (1986). 

(f) The provisions for 
"Manifest System, Recordkeeping, 
and Reporting" and accompanying 
appendices contained in 45 Fed. 
Reg. 33,226 to 33,232 (1980) [to 
be codified in 40 CFR 264.70 to 
264.78 (Subpart E)] have been 
adopted by reference as amended 
by 45 Fed. Reg. 86,970 and 
86,974 (1980); 46 Fed. Reg. 
2,849 and 7,678 (1981); 47 Fed. 
Reg. 32,350 (1982); 48 Fed. Reg. 
3,982 (1983); 50 Fed. Reg. 



814 



NORTH CAROLINA REGISTER 



18,374 and 28,746 (1985); and 51 
Fed. Reg. 25,472 and 40,637 
(1986). 

.0033 INTERIM STATUS STANDARDS 

FOR HWMF's - PART 265 
(b) "General Facility 
Standards" contained in 45 Fed. 
Reg. 33,234 to 33,236 (1980) [to 
be codified in 40 CFR 265.10 to 
265.18 (Subpart B)] have been 
adopted by reference as amended 
by 48 Fed. Reg. 14,295 (1983); 
50 Fed. Reg. 18,374 and 28,749 
(1985); and 51 Fed. Reg. 25,478 
and ,25, 479 , and 40,637 (1986). 

(e) The provisions for 
"Manifest System Recordkeeping, 
and Reporting" contained in 45 
Fed. Reg. 33,238 and 33,239 
(1980) [to be codified in 40 CFR 
265.70 to 265.77 (Subpart E)] 
have been adopted by reference 
as amended by 45 Fed. Reg. 
86,970, 86,974 (1980); 46 Fed. 
Reg. 7,680 (1981); 48 Fed. Reg. 
3,982 (1983); 50 Fed. Reg. 
18,374 (1985); and 51 Fed. Reg. 
25,479, 40.637, and 40,638 
(1986). 

(i) .The provisions for 
"Use and Management of 
Containers" contained in 45 Fed. 
Reg. 33,244 (1980) [to be 
codified in 40 CFR 265.170 to 
265.177 (Subpart I)] have been 
adopted by reference as amended 
by 45 Fed. Reg. 78,529 (1980), 
except that 40 CFR 265.174 is 
not adopted bv reference. 

(1) The following shall be 

substituted for the 

provisions of 40 CFR 265.174 
which were not adopted bv 
reference ; 
"265.174 Inspections. 

The owner or operator 
must inspect areas where 
containers are stored at 
least weekly, looking for 
leaks and for deterioration 
caused bv corrosion or other 

factors . A log of the 

weekly inspections must be 
kept for at least three 
years from the date of the 

inspection. " . [Comment ; 

See Section 265.171 for 

remedial action reguired if 

deterioration or leaks are 

detected. ] 

(j) The provisions for 

"Tanks" contained in 45 Fed. 

Reg. 33,244 and 33,245 (1980) 

[to be codified in 40 CFR 

265.190 to 265.201 (Subpart J)] 

have been adopted by reference 

as amended by 46 Fed. Reg. 2,896 

and 35,249 (1981); and 51 Fed. 

Reg. 25,478 to 25,485 and 25,479 

to 25,481 (1986), except that 40 

CFR 265.194 is not adopted bv 

reference. 

( 1 ) The following shall be 



substituted 



for 



the 



provisions of 40 CFR 265.194 
which were not adopted bv 
reference . 

"265.194 Inspections, 
(a) the ovrner or operator 
of a tank must inspect, 
where present < 

(1) discharge control 
equipment (e.g., waste 
feed cut-off systems, 
by-pass systems, and 
drainage systems), at 

least once each 

operating day, to ensure 
that it is in good 
working order; 

(2) data gathered from 
monitoring equipment 



(e-q. > 



pressure 



and 



temperature gauges), at 

least once each 

operating day, to ensure 
that the tank is being 
operated according to 
its design; 

(3) the level of waste 

in the tank, at least 
once each operating day, 
to ensure compliance 
with Section 265.192(c); 

(4) the construction 
materials of the tank, 
at least weekly, to 
detect corrosion or 

leaHing of fj^J^tmr^? 9ff 

seams; and 

(5) the construction 
materials of, and the 

area immediately 

surrounding discharge 

confinement structures 
(e.g., dikes), at least 

weekly, to detect 

erosion or obvious signs 
of leakage (e.g., wet 

spots oj; dead 

vegetation) . 

(b) a log of the weekly 
inspections must be kept for at 
least three years from the date 
of the inspection." 

[Comment' As required by 
Section 265.15(c), the owner or 
operator must remedy any 
deterioration or malfunction he 
finds. 1 

.0034 INTERIM STATUS 
STANDARDS FOR 
PERMITTING - PART 270 
(b) The following provisions 
for additional permitting 
requirements contained in 48 
Fed. Reg. 14,233 to 14,241, and 
30,114 (1983) [to be codified in 
40 CFR 270 (Subpart B, Permit 
Application)] have been adopted 
by reference as amended by 48 
Fed. Reg, 39,622 (1983); 50 Fed. 
Red. 2006, 28,751, and 28,752 
(1985); and 51 Fed. Reg. 10,176, 
16,458, 25,486, and 29,431 and 
40,653 (1986). 



NORTH CAROLINA REGISTER 



815 



(c) The following provisions 
for additional permitting 
requirements contained in 48 
Fed. Reg. 14,241 to 14.243 and 
30,114 (1983) -to bw add e d [to be 
codified in 40 CFR 270 (Subpart 

C, Permit Conditions)] have been 
adopted by reference as amended 
by 48 Fed. Reg. 39,622 (1983); 
and 50 Fed. Reg. 28,752 (1985); 
and 51 Fed. Reg. 25,486 and 
40,653 (1986). 

(d) The following provisions 
for additional permitting 
requirements contained in 48 
Fed. Reg. 14,243 to 14,245 and 
30,114 (1983) try be add ed [to be 
codified in 40 CFR 270 (Subpart 

D, Changes to permit)] have been 
adopted by reference as amended 
by 50 Fed. Reg. 28,752 (1985); 
and 51 Fed. Reg. 16,458 and 
40,653 (1986). 

.0041 REQUIREMENTS! HAZARDOUS 
WASTE PROGRAM - PART 271 

The following provisions for 
the "sharing of information" [to 
be codified in 40 CFR 271.1 and 
271.17] have been adopted by 
reference as amended by 50 Fed. 
Reg. 28,754 (1985) and 51 Fed. 
Reg. 10,176, 25,486, 28,685, 
29,431, 33,720, 33,721, and 
33,722, and 40,653 (1986). 

.0042 LAND DISPOSAL 
RESTRICTIONS - 
PART 268 

(a) The "General" provisions 
contained in 51 Fed. Reg. 40,638 
to 40,641 (1986) [to be codified 
in 40 CFR 268.1 to 268.7 
(Subpart A)] have been adopted 
by reference . 

(b) The "Prohibitions on 

Land Disposal" provisions 
contained in 51 Fed. Reg. 40,641 
to 40,642 (1986) [to be codified 
in 40 CFR 268.30 to 268.31 
(Subpart O] have been adopted 
by reference . 

(c) The "Treatment Standards" 
provisions contained in 51 Fed. 
Reg. 40,642 (1986) [to be 
codified in 40 CFR 268.40 to 
268.44 (Subpart D)] have been 
adopted by reference. 

(d) The "Prohibitions on 
Storage" provisions contained in 
51 Fed. Reg. 40,642 and 40,643 
(1986) [to be codified in 40 CFR 
268.50 (Subpart E)] have been 
adopted by reference. 

(e) Appendices I and II 
contained in 51 Fed. Reg. 40,643 
to 40,653 (1986) have been 
adopted by reference . 

TITLE 13 - DEPARTMENT OF 
LABOR 

Notice is hereby given in 



accordance with G.S. 150B-12 
that the Department of Labor 
intends to repeal regulations 

cited as 13 NCAC 5 

.0201-. 0207, and 
.0301-. 0304, 



.0101-. 0104, 
.0209-. 0212, 
.0401-. 0402, 



.0501-. 0506, .0508-. 0531 

The proposed effective date of 
this action is August 1, 1987. 

Statutory Authority i G.S. 
95-110.5, 95-111 .4, 95-120. 

The public hearing will be 
conducted at 2:00 p.m. on April 
15, 1987 at Room 614, Cooper 
Memorial Building, 225 N. 
McDowell Street, Raleigh, North 
Carolina. 

Comment Procedures! People 
wanting to present oral 
testimony at the hearing, or who 
want to have written testimony 
read at the hearing, should 
provide a written summary of the 
proposed testimony to the 
department by April 15, 1987. 
Oral presentations will be 
limited to 15 minutes each. 
Written statements not presented 
at the hearing will be accepted 
by the department until April 
27, 1987. All correspondence 
should be directed to Sam 
Wagoner, N.C. Dept . of Labor, 
Elevator & Amusement Device 
Division, 214 W. Jones St., 
Raleigh, N.C. 27603. 
Interpreters for the hearing 
impaired will be made available 
if requested 24 hours in 
advance. 

CHAPTER 5 - ELEVATOR DIVISION 

SECTION .0100 - PURPOSE: 
DEFINITIONS 

.0101 NAME: ADDRESS 

(REPEALED) 
.0102 PURPOSE: 

RESPONSIBILITIES 

(REPEALED) 
.0103 ORGANIZATION 

(REPEALED) 
.0104 DEFINITIONS (REPEALED) 

SECTION .0200 - PROCEDURES 



.0201 
.0202 
.0203 



.0204 

.0205 
.0206 



APPLICABILITY 
(REPEALED) 
RESPONSIBILITY 
(REPEALED) 
EXCEPTIONS AND 
SPECIAL DEVICES 
(REPEALED) 
CONSTRUCTION 
PERMITS (REPEALED) 
NUMBERING (REPEALED) 
DESIGN: 
INSTALLATION: 
ALTERATIONS AND 



816 



NORTH CAROLINA REGISTER 



.0207 
.0209 
.0210 



.0211 

.0212 

SECTION 



.0301 
.0302 



,0303 
.0304 



REPAIRS (REPEALED) 


.0522 


ACCEPTANCE 




INSPECTION (REPEALED) 




CERTIFICATES OF 


.0523 


OPERATION (REPEALED) 




MAINTENANCE AND 


.0524 


PERIODIC INSPECTIONS 




AND TESTS (REPEALED) 


.0525 


UNSAFE EQUIPMENT 




(REPEALED) 


.0526 


ACCIDENTS (REPEALED) 




.0300 - CODES AND 


.0527 


STANDARDS 






.0528 


ELEVATOR SAFETY 




CODE (REPEALED) 




WORKMAN'S HOIST 


.0529 


CODE (REPEALED) 




STAIRWAY INCLINED 


.0530 



LIFT CODE (REPEALED) 
VERTICAL WHEELCHAIR 
LIFT CODE (REPEALED) 



,0531 



EMERGENCY BRAKES AND 

ANTI-ROLLBACK DEVICES 

(REPEALED) 

SIGNAL SYSTEMS 

( REPEALED ) 

PUBLIC PROTECTION 

(REPEALED) 

GUARDING OF 

MACHINERY (REPEALED) 

SPEED-LIMITING 

DEVICES REQUIRED 

(REPEALED) 

PASSENGER-CARRYING 

DEVICES (REPEALED) 

ELECTRICAL SAFETY 

REQUIREMENTS 

(REPEALED) 

AIR COMPRESSORS AND 

EQUIPMENT (REPEALED) 

FIRE PREVENTION 

AND PROTECTION 

(REPEALED) 

CLEANLINESS (REPEALED) 



SECTION .0400 - AERIAL 
PASSENGER TRAMWAYS 

.0401 STATE TRAMWAY 

CODE (REPEALED) 

.0402 REGISTRATION FORM 
(REPEALED) 

SECTION .0500 - AMUSEMENT 
DEVICES 

.0501 DEFINITIONS (REPEALED) 
.0502 RESPONSIBILITY FOR 

COMPLIANCE (REPEALED) 
.0503 DEVICES NOT IN 

COMPLIANCE (REPEALED) 
.0504 LOAD TESTS (REPEALED) 
.0505 LOCATION NOTICES 

(REPEALED) 
.0506 INSPECTIONS 

(REPEALED) 
.0508 UNSAFE DEVICES 

(REPEALED) 
.0509 ACCIDENTS (REPEALED) 
.0510 IDENTIFICATION AND 

RATING PLATES 

(REPEALED) 
.0511 REBUILT AND MODIFIED 

DEVICES (REPEALED) 
.0512 ASSEMBLY AND 

DISASSEMBLY (REPEALED) 
.0513 DAILY INSPECTION 

AND TEST (REPEALED) 
.0514 PROHIBITED USE 

(REPEALED ) 
.0515 CONTROL OF OPERATION 

' (REPEALED) 
.0516 OVERLOADING AND 

OVERSPEEDING 

(REPEALED) 
.0517 WIND AND STORM 

HAZARDS (REPEALED) 
.0518 LIGHTING (REPEALED) 
.0519 DESIGN AND 

CONSTRUCTION 

REQUIREMENTS 

(REPEALED) 
.0520 EXITS (REPEALED) 
.0521 ACCESS AND EGRESS 

(REPEALED) 



Notice is hereby given in 
accordance with G.S. 150B-12 
that the Department of Labor 
intends to adopt regulations 
cited as 13 NCAC 15 .0101-. 0107; 
.0201-. 0206; .0301-. 0309; and 
.0401-. 0428; .0501-. 0502. 

The proposed effective date of 
this action is August 1/ 1987. 

Statutory Authority: G.S. 
95-110.5; 95-111.4; 95-120. 

The public hearing will be 
conducted at 2:00 p.m. on April 
15, 1987 at Room 614, Cooper 
Memorial Building, 225 N. 
McDowell Street, Raleigh, North 
Carolina. 

Comment Procedures: People 
wanting to present oral 
testimony at the hearing, or who 
want to have written testimony 
read at the hearing, should 
provide a written summary of the 
proposed testimony to the 
department by April 15, 1987. 
Oral presentations will be 
limited to 15 minutes each. 
Written statements not presented 
at the hearing will be accepted 
by the department until April 
27, 1987. All correspondence 
should be directed to Sam 
Wagoner, N.C. Dept. of Labor, 
Elevator & Amusement Device 
Division, 214 W. Jones St., 
Raleigh, N.C. 27603. 
Interpreters for the hearing 
impaired will be made available 
if requested 24 hours in 
advance . 

CHAPTER 15 - ELEVATOR AND 
AMUSEMENT DEVICE 

SECTION .0100 - GENERAL 
PROVISIONS 



NORTH CAROLINA REGISTER 



817 



.0101 ELEVATOR AND AMUSEMENT 
DEVICE DIVISION 

The main office of the Elevator 
and Amusement Device Division, 
which administers the provisions 
of Article 14, Article 14A, 
Article 14B and Article 15 of 
Chapter 95 of the North Carolina 
General Statutes, is located in 
the Raleigh office of the 
Department of Labor at the 
corner of Edenton and Salisbury 
Streets. The mailing address 
and telephone number are: 

Elevator and Amusement Device 

Division 

North Carolina Department of 

Labor 

4 West Edenton Street 

Raleigh, North Carolina 27601 

(919) 733-7394 

.0102 APPLICABILITY 
The requirements of this 
Chapter shall be applicable to 
the design, construction, 
installation, plans review, 
testing, inspection, 

certification, operation, use, 
maintenance, alteration, and 
relocation of, and investigation 
of accidents involving devices 
and equipment subject to 
Articles 14, 14A, 14B and 15 of 
the North Carolina General 
Statutes as hereinafter 
specified. 

.0103 DEFINITIONS 

(a) The definitions found in 
G.S. 95-110.3, 95-111.3 and 
95-117 are applicable throughout 
this Chapter unless a different 
meaning is plainly required by 
the context . 

(b) The following definitions 
also apply throughout this 
Chapter . 

(1) The term "alteration" 
means any change made to an 
existing device or piece of 
equipment other than the 
repair or replacement of 
damaged, worn or other parts 
necessary for operation. 

(2) The term "division" means 
the Elevator and Amusement 
Device Division of the North 
Carolina Department of 
Labor . 

(3) The term "elevator safety 
code" means the edition of 
the American National 
Standard Safety Code for 
Elevators and Escalators, 
currently in effect with 
addenda and modifications as 
provided in Rule .0201 of 
this Chapter. 

(4) The term "existing 
installation" means any 
device or equipment, the 



application for the 
installation of which was 
filed with the department or 
the installation of which 
was completed before the 
effective date of the rules 
and regulations which are 
currently in effect. 
(5) The term "new 

installation" means any 
device or equipment, the 
application for the 
installation or relocation 
of which is filed with the 
department on or after the 
effective date of these 
rules and regulations. 

.0104 NOTIFICATION OF DECISION 
BY 0V;NER OR OPERATOR 

(a) Whenever the owner or 
operator of any device or 
equipment has received an order 
from the commissioner that the 
use of the device or equipment 
should be stopped or limited 
pursuant to G.S. 95-110.5, 
95-111.6, or 95-123, he shall 
notify the director in writing 
within 15 days of receipt of 
such order : 

(1) certifying that the 
device or equipment has been 
repaired or altered in 
compliance with the 
commissioner' s 
specifications; 

(2) indicating his intention 
to comply with the standards 
of safety for such devices 
or equipment with the 
understanding that : 

(A) the use of the device 
or equipment will be 
limited as specified by 
the commissioner's order; 

(B) the certificate of 
operation is suspended 
until the device or 
equipment has been 
repaired or altered in 
compliance with the 
commissioner' s 
specifications; or 

(C) the certificate of 
operation has been 
permanently revoked; or 

(3) requesting a hearing 
pursuant to Chapter 150B of 
the General Statutes. 

Cb) Where the owner or 
operator fails to notify the 
director within 15 days of 
receipt of the order or refuses 
to discontinue or limit 
operation of the device or 
equipment, the director may 
obtain injunctive relief on 
behalf of the commissioner. 

.0105 NOTATION OF SUSPENSION 

OR REVOCATION 
Upon suspension or revocation 



818 



NORTH CAROLINA REGISTER 



of a certificate of operation, 
an authorized inspector shall 
affix to a prominent place on 
the device or equipment, a card 
with substantially the following 
language > 

The certificate of operation 

for this device or equipment 

is (suspended 

indefinitely/permanently 

revoked). Further use of 

this device or equipment is 

prohibited. 

This card shall be signed by the 

director of the Elevator and 

Amusement Device Division. In 

addition the inspector shall 

place seals upon the device or 

equipment to ensure that it is 

not used without the permission 

of the director. 

.0106 OCCURRENCE REPORTING FOR 
TRAMWAYS 

(a) The owner of any aerial 
passenger tramway shall within 
24 hours notify the director of 
each and every occurrence 
involving such device or 
equipment wheni 

(1) The occurrence results in 
death or injury requiring 
medical treatment. other 
than first aid. by a 
physician. First aid means 
the one-time treatment or 
observation of scratches, 
cuts not requiring stitches, 
burns. splinters and 
contusions or a diagnostic 
procedures. including 
examination and x-rays, 
which does not ordinarily 
require medical treatment 
even though provided by a 
physician or other licensed 
personnel; or 

(2) The occurrence results in 
a damage to the device 
indicating a substantial 
defect in design, mechanics, 
structure or equipment, 
affecting the future safe 
operation of the device. No 
reporting is required in the 
case of normal wear and 
tear. 

(b) The director, without 
delay. after notification and 
determination that an occurrence 
involving injury or damage as 
specified in subsection (a) has 
occurred, shall make a complete 
and thorough investigation of 
the occurrence. The report of 
the investigation shall be 
placed on file in the office of 
the division and shall give in 
detail all facts and information 
available . The owner may submit 
for inclusion in the file 
results of investigations 
independent of the department's 
invest igat ion . 



(c) No person, following an 
occurrence as specified in 
subsection (a), shall operate, 
attempt to operate, use or move 
or attempt to move such device 
or equipment, or part thereof, 
without the approval of the 
director. unless so as to 
prevent injury to any person or 
persons. 

(d) No person, following an 
occurrence as specified in 
subsection (a), shall remove or 
attempt to remove from the 
premises any damaged or 
undamaged part of such device or 
equipment or repair or attempt 
to repair any damaged part 
necessary to a complete and 
thorough investigation. The 
department must initiate its 
investigation within 24 hours of 
being notified. 

.0107 EXCEPTIONS AND SPECIAL 
DEVICES 

The director may at his 
discretion grant exceptions from 
the requirements of this Chapter 
or permit the use of other 
devices. Requests for 
exceptions or use of special 
devices shall contain specific 
information detailing how the 
exception or use of a special 
device will provide equivalent 
safety as the original design or 
device. Exceptions or the use 
of special devices shall be 
considered only when made by 
written request . All requests 
for exceptions or use of special 
devices shall be given due 
consideration by the director 
and a decision rendered within 
10 days of receipt of such 
request whenever possible. 
Where the investigation of such 
requests makes it impossible to 
render a decision within the 
time specified. the person 
making the request shall be 
notified of the delay within 10 
days . 

SECTION .0200 - CODES AND 
STANDARDS 

.0201 ELEVATOR SAFETY CODE 
(a) The design, construction, 
installation. alteration, 
repair, replacement, inspection, 
maintenance and operation of all 
new installations of elevators, 
dumbwaiters, escalators, moving 
walks. inclined stairway 
chairlifts. and inclined and 
vertical wheelchair lifts shall 
conform to these Rules and the 
American National Standard 
Safety Code for Elevators and 
Escalators. A17. 1-1984 with 
addenda A17.1a-1985, A17.1b-1985 
and A17.1C-1986 which is hereby 



NORTH CAROLINA REGISTER 



819 



adopted by reference subject to 
the modifications provided in 
(b) of this Rule. 

(b) The provisions of the 
American National Standard 
Safety Code for Elevators and 
Escalators, A17.1 shall be 
subject to the following 
modifications ; 

(1 ) Rule TOO. led ) — 

Observation Elevators With 
Enclosed Hoistways. Change 
the last sentence in the 
second paragraph to read as 
follows: Hoistways of 
observation elevators may be 
enclosed with glass, 
provided it is laminated 
glass conforming to the 
requirements of ANSI Z97.1. 

(2) Rule 101 .1c(2) — 
Observation Elevators Not 
Fully Enclosed. Change the 
rule to read as follows i 
For observation elevators 
which are not fully 
enclosed, protection at 
landings shall be provided 
as follows: 

(A) An enclosure shall be 
provided which shall 
extend a minimum of 10 
feet above the floor. 

(B) The enclosure shall be 
constructed of 
unperforated material. 

(C) Enclosures shall be 
located in the general 
line of the hoistway. 
Horizontal clearance shall 
be the same as stated in 
Section 108. 

(3) Rule no. 2a — For 
Passenger Elevators and 
Freight Elevators Authorized 
to Carry Passengers. 

(A) Delete from the title 
the words: "and freight 
elevators authorized to 
carry passengers." 

(B) Delete items (4) and 
(5) of the contents. 

(4) Rule 111.10 — Access to 
Hoistways for Emergency 
Purposes. In the first 
sentence change the word 
"may" to "shall." 

(5) Rule 204. 2d ~ Side 
Emergency Exits. Side 
emergency exits shall not be 
permitted in elevator cars. 

(6) Rule 300.3d — Top Car 
Clearance. Change the rule 
to read as follows: The top 
car clearance shall be not 
less than the sum of the 
following two items: 

(A) the top car runby; 

(B) The largest of the 
following : 

(1) Two feet (610 mm) 
above the car crosshead 
where a crosshead is 
provided; 



(11) In no case shall 

there be less than 2 
feet clearance (610 mm) 
above the car crosshead 
when the car has reached 
its maximum upward 
movement . 

(c) The rules of this Chapter 
shall control when any conflict 
between these rules and the ANSI 
Code exists. 

(d) Copies of the American 
National Standard Safety Code 
for Elevators and Escalators are 
available for public Inspection 
in the office of the division, 
and may be obtained from the 
American Society of Mechanical 
Engineers, United Engineering 
Center, 345 East 47th Street, 
New York, New York 10017. The 
cost is seventy five dollars 
($75.00) per copy for non-ASME 
members and sixty dollars 
($60.00) for members. 

.0202 EXISTING INSTALLATIONS 
AND EXCEPTIONS 

(a) Existing Installations. 
Existing installations of 
elevators, escalators, 

dumbwaiters, and moving walks 
shall be maintained under the 
departmental standards (if any) 
in effect at the time of their 
installation. Existing 

installations shall also meet 
the following standards whether 
or not there were departmental 
standards in effect at the time 
of their installation: 

( 1 ) Electrically-powered 
elevator driving machines 
shall be equipped with a 
friction brake applied by a 
spring or springs or by 
gravity and released 
electrically. 

(2) The car of every 
elevator suspended by wire 
ropes shall be provided with 
one or more safety devices. 
The safeties shall be 
attached to the car frame 
and one safety shall be 
located within or below the 
lowest members of the car 
frame (safety plant). All 
safeties shall be designed 
and Installed in accordance 
with Section 205 of the 
Elevator Safety Code, unless 
otherwise approved by the 
director . 

(3) Operating devices for 
electrically-powered or 
elec trlcally-controlled 
elevators shall be of the 
enclosed electric type. 
Rope or rod operating 
devices activated directly 
by hand, or rope operating 
devices activated by wheels. 



820 



NORTH CAROLINA REGISTER 



levers or cranks shall not 
be used. 

(4) Elevator hoistways shall 
be enclosed throughout their 
height and all hoistway 
landing openings shall be 
protected with doors or 
gates. Hoistway enclosures 
shall be constructed to have 
a fire resistive rating of 
not less than one hour. 

(5) Hoistway enclosure doors 
or gates shall be equipped 
with electric interlocks. 

(6) Each elevator car shall 
be permanently enclosed on 
all sides and the top, 
except the sides for 
entrance and exit. Car side 
enclosures shall be of such 
strength and so designed and 
installed that when 
subjected to a pressure of 
75 pounds applied 
horizontally at any point on 
the walls of the enclosure, 
the deflection will not 
exceed one inch. 

(7) Car top enclosures shall 
be so designed and installed 
as to be capable of 
sustaining a load of not 
less than 100 pounds at any 
one point. 

(8) An emergency exit with a 
cover shall be provided in 
the top of all elevator 
cars. The exit opening 
shall have an area of not 
less than 400 square inches 
and shall not measure less 
than 16 inches on any side. 
The exit shall be so located 
as to provide a clear 
unobstructed passage through 
it. The exit cover shall 
open outward and be hinged 
or otherwise attached to the 
car top and arranged to be 
opened from the top of the 
car only. 

(9) A door or gate shall be 
provided at each entrance to 
the car . 

(10) Doors shall be of the 
horizontally or vertically 
sliding type. Gates shall 
be of the vertically sliding 
or horizontally sliding 
collapsible type located not 
more than 1-3/4 inches from 
the car sill. Gates shall 
extend from a point not less 
than one inch above the car 
floor to not less than six 
feet above the car floor. 

(11) Vertically sliding gates 
when in the fully opened 
position shall provide an 
entrance of not less than 
six feet in height. Such 
gates shall be provided with 
pull straps to facilitate 
closing of the gate. 



(12) Each car door shall be 
equipped with a car door or 
gate electric contact so 
located as to be 
inaccessible from Inside the 
car door and shall stop the 
car when the gate is opened 
a maximum of two inches. 

(b) Exceptions. Existing 
elevators in warehouses of not 
more than two floors that are 
not accessible to the general 
public are exempt from 
Subdivisions (4) through (12) of 
paragraph (a) of this Rule 
providing that all of the 
following conditions are met: 

(1) The warehouse shall be 
used solely for the purpose 
of storing materials and 
products . 

(2) Hoistways shall be 
provided with adequate 
guards as approved by the 
director. 

(3) All capabilities of 
operating the elevator from 
the car or platform shall be 
removed. 

(4) Riders shall not be 
permitted to ride the car or 
platform. 

(5) A sign stating 
"Absolutely No Riders 
Permitted" in letters no 
less than one inch high on a 
contrasting background shall 
be posted at each entrance 
to the elevator. 

(c) If an existing 
installation meets the 
requirements of paragraph (a) of 
this Rule, it shall be issued a 
regular certificate of operation 
pursuant to Rule .0306 of this 
Chapter. If an existing 
installation is maintained under 
the departmental standards (if 
any) in effect at the time of 
its installation and is not 
e.xposing the public to an unsafe 
condition likely to result in 
serious personal injury or 
property damage, but does not 
meet the twelve standards 
specifically set out in 
paragraph (a) of this Rule, it 
shall be issued a certificate of 
operation containing the 
following statement i 

"Warning: This elevator has 

been inspected and found to 

be in a reasonably safe 

condition; however, it is 

not equipped with some of 

the safety features now 

required by the Department 

of Labor." 

If the existing installation is 

not in compliance with the 

requirements of paragraph (a) of 

this Rule by January 1, 1991, 

the following sign in letters no 

less than one inch high on a 



NORTH CAROLINA REGISTER 



821 



contrasting background shall be 
posted within and at each 
entrance to the elevators 

"Riders prohibited — only a 
trained operator may ride 
this elevator." 
(d) Units of existing 
installations which are 
out-of-service and not 
continuously maintained for a 
period exceeding one year shall 
be properly landed by complying 
with the following! 

( 1 ) Land both car and 
counterweight (if any) at 
the bottom of the hoistway. 
Elevators of the roped type 
shall have their hoist ropes 
disconnected at both ends . 

(2) All electric power shall 
be removed by disconnecting 
and removing the power 
feeders . 

(3) All hoistway entrances 
shall be permanently secured 
to prevent accidental or 
inadvertent entry into the 
hoistway. 

Any elevator, dumbwaiter, 
escalator or moving walk that 
has been properly landed or 
otherwise removed from service 
for a period exceeding one year 
shall comply with the 
requirements of the elevator 
safety code in effect at the 
time they are returned to 
service . 

.0203 SAFETY STANDARD FOR 
MANLIFTS 

(a) The design, construction, 
installation, alteration, 
repair, replacement, inspection, 
maintenance and operation of all 
manlifts shall conform to these 
Rules and the American National 
Standard Safety Standard for 
Manlifts, A90. 1-1976 which is 
hereby adopted by reference. 

(b) The rules of this Chapter 
shall control when any conflict 
between these rules and the ANSI 
Code exists. 

(c) Copies of the American 
National Standard Safety 
Standard for Manlifts are 
available for inspection at the 
offices of the division and may 
be obtained from the American 
Society of Mechanical Engineers, 
United Engineering Center, 345 
East 47th Street, New York, New 
York 10017 at a cost of six 
dollars ($6.00) per copy for 
non-members and four dollars and 
eighty cents ($4.80) for 
members . 

.0204 PERSON>rEL HOISTS CODE 

(a) The design, construction, 

installation, alteration, 

repair, replacement, inspection 

and operation of all personnel 



hoists shall conform to these 
Rules and the American National 
Standard Safety Requirements for 
Personnel Hoists, AlO. 4-1981 
which is hereby adopted by 
reference . 

(b) The rules of this Chapter 
shall control when any conflict 
between these rules and the ANSI 
Code exists. 

(c) Copies of the American 
National Standard Safety 
Requirements for Personnel 
Hoists are available for 
inspection at the offices of the 
division and may be obtained 
from the American National 
Standard Institute, Inc., 1430 
Broadway, New York, New York 
10018 at a cost of ten dollars 
($10.00) per copy. 

.0205 TRAMIVAY REQUIREMENTS 
The construction, operation and 
maintenance of passenger 
tramways shall conform to the 
American National Standards 
Safety Requirements for Aerial 
Passenger Tramways, B77. 1-1982 
as supplemented by B77.1a-1986 
which is hereby adopted by 
reference. Copies of the 
requirements are available for 
inspection at the office of the 
division and may be obtained 
from the American National 
Standards Institute, Inc., 1430 
Broadway, New York, New York 
10018 at a price of twelve 
dollars ($12.00) per copy. 

.0206 NATIONAL ELECTRICAL CODE 

(a) All devices and equipment 
subject to this Chapter shall be 
designed, constructed, 
installed, maintained and 
operated in accordance with 
these Rules and the requirements 
of the 1987 edition of the 
National Electrical Code, NFPA 
70-1987 which is hereby adopted 
by reference. 

(b) The rules of this Chapter 
shall control when any conflict 
between these rules and the 
National Electrical Code e,xists. 

(c) Copies of the National 
Electrical Code are available 
for inspection in the offices of 
the division and may be obtained 
from the State Board of 
Examiners of Electrical 
Contractors, 1200 Front Street, 
Suite 105, P. 0. Box 18727, 
Raleigh, NC 27619 at a cost of 
fourteen dollars ($14.00) per 
copy at the office or fifteen 
dollars ($15.00) per copy if 
mailed . 

SECTION .0300 - ELEVATORS AND 
RELATED EQUIPMENT 

.0301 SECTION APPLICABILITY 



822 



NORTH CAROLINA REGISTER 



The requirements of this 
section are applicable to all 
devices and equipment within the 
scope of Article 14A of the 
General Statutes. 

.0302 RESPONSIBILITY 

Responsibility for the 
installation^ alteration, 
operation, maintenance, and 
reporting of accidents for 
elevators, dumbwaiters, 

escalators, moving walks, 
personnel hoists, and special 
equipment shall be as follows: 

( 1 ) The equipment manufacturer 
shall be responsible for 
designing and manfacturing 
equipment in compliance with 
the applicable code. 

(2) The person or firm 
installing or altering 
elevators, dumbwaiters, 
escalators, moving walks, 
personnel hoists, and special 
equipment shall be 
responsible for obtaining all 
permits and approvals. He 
shall be responsible for the 
safe operation of equipment 
during the installation until 
a certificate of operation 
has been issued and for 
conducting all tests required 
by these rules . 

(3) The owner, his duly 
appointed agent, or the 
lessee shall be responsible 
for the safe operation and 
proper maintenance of 
elevators, dumbwaiters, 
escalators, moving walks, 
personnel hoists, and special 
equipment after the 
installation has been 
approved and a certificate 
has been issued. He shall be 
responsible for conducting 
all periodic or maintenance 
tests required by these 
rules . 

.0303 CONSTRUCTION PERMITS 

(a) Before erecting or 
constructing a new elevator, 
dumbwaiter, workman's hoist, 
escalator, moving walk, stairway 
inclined lift, or vertical 
wheelchair lift, or before 
moving such an apparatus from 
one location to another, or 
before making alterations to 
existing equipment, the owner or 
his authorized agent shall 
obtain a permit from the 
director. The owner or his 
authorized agent shall submit an 
application for a permit 
accompanied by duplicate plans 
and drawings showing the 
proposed construction, type of 
equipment and mode of operation. 
The application to install which 
consists of the original and 



three copies shall include the 
following information: 

(1) name and address of 
architect, owner, and 
installer; 

(2) type and design of 
equipment; 

(3) pertinent information as 
to the location of the 
equipment and such 
specifications as required 
by the Elevator Safety Code; 

(4) a permit from the local 
building inspector that the 
planned stairway inclined 
lift or vertical wheelchair 
lift will not hinder egrees 
or ingress from the building 
required by the North 
Carolina Building Code. If 
no local building inspector 
is available, the permit 
must be obtained from the 
engineering division of the 
North Carolina Department of 
Insurance. 

(b) Upon finding that the 
application is in compliance 
with the regulations of this 
Chapter, the director will issue 
a permit, subject to final field 
inspection. 

(c) The permit shall be posted 
in a conspicuous place on the 
job site prior to the start of 
any work to be done. 

(d) Upon receiving information 
indicating violation of this 
Rule, the director may cause the 
stoppage of all work on that job 
until a hearing, pursuant to the 
provisions of the Administrative 
Procedure Act, N.C. General 
Statutes, Chapter 1503 Article 3 
can be held to determine the 
reason for the violation. 

(e) The operation or use of 
any new, altered, or relocated 
equipment subject to the 
Elevator Safety Code other than 
by the installer acting under 
the authority of a construction 
permit is prohibited until such 
equipment has passed tests and 
inspections as required by Rule 
.0305 of this Section and a 
certificate to this effect has 
been issued in accordance with 
Rule .0306 of this Section. 

. 0304 NUMBERING 

All new devices and equipment 
shall have a registration number 
assigned by the division painted 
on or attached in plain view to 
the elevator car, to the 
escalator or moving walk 
balustrade, or to the driving 
mechanism of all other 
equipment. This registration 
number also shall be shown on 
the certificate of operation. 
The owner or operator is 
responsible for having the 



NORTH CAROLINA REGISTER 



823 



registration number painted on 
or attached to the device or 
equipment . 

.0305 ACCEPTANCE INSPECTION 

(a) Notification. The person 
or firm installing, moving or 
altering any device or equipment 
shall notify the director at 
least five days before the 
inspection is desired. The 
notification shall be in writing 
and shall include the following: 

( 1 ) name and address of the 
contractor, 

(2) name and address of the 
owner, 

(3) location of the device or 
equipment , 

(4) date of request for 
in.?pcction. 

If the person ' or firm 
installing, moving or altering 
the device or equipment will not 
be ready for inspection on tlie 
date requested, he shall 
immediately notify the director 
so that an inspector will not be 
required to make an unnecessary 
trip. 

(b) Inspections. The director 
or an inspector of the division 
shall inspect all new, altered 
or relocated devices or 
equipment subject to this 
Chapter for conformity with the 
requirements of these 
regulations. The inspection 
shall be made, when practicable, 
within two days of the date 
requested. 

(c) Elevators, Dumbwaiters, 
Escalators and Moving Walks. 
The person or firm installing, 
moving or altering an elevator, 
dumbwaiter, escalator, moving 
walk, inclined stairway 
chairlift, or inclined or 
vertical wheelchair lift, shall, 
in the presence of the director 
or an inspector, subject the 
new, moved or altered portions 
of the equipment to an 
acceptance test as required by 
the Elevator Safety Code. 

(d) Special Equipment. The 
person or firm installing, 
moving or altering any special 
equipment shall, in the presence 
of the director or an inspector, 
subject the new, moved or 
altered portion of the equipment 
to such tests as may be required 
by the director to insure safe 
operation . 

(e) Violations. If, after 
inspecting and performing tests 
on the equipment, the inspector 
determines that the condition of 
the equipment is not in full 
compliance with the rules of 
this Chapter, the inspector will 
inform the person or firm 
installing, moving or altering 



the device of any violations and 
will require compliance before a 
certificate for operation, as 
prescribed in Rule .0306 of this 
Section, will be Issued. 

.0306 CERTIFICATES OF 
OPERATION 

(a) Issuing of Final 
Certificates of Operation. A 
certificate of operation shall 
be issued by the director where 
the inspections and tests, 
required by Rule .0305 of this 
Section, show beyond a 
reasonable doubt that the 
equipment has been designed and 
installed in accordance with the 
requirements of these rules. 

(b) Framing of Certificates. 
The certificate furnished by the 
director shall be maintained in 
a suitable frame under 
transparent cover. 

(c) Numbering of Certificates. 
The final certificate of 
operation shall show the 
registration number of the 
equipment for which it is 
issued, as required in Rule 
.0304 of this Section. 

(d) Posting of Certificates of 
Operation. The required 
certificates ishall be posted 
conspicuously as follows: 

(1) inside elevator cars, or 

(2) inside dumbwaiter cars, 
or 

(3) inside escalator and 
moving walk machine rooms, 
or 

(4) in locations designated 
by the division. 

(e) Limited Certificate of 
Operation . 

(1) Issuance for Elevator. 
The director may allow the 
temporary use of any 
elevator for passenger or 
freight service during its 
installation or alteration 
under the authority of a 
limited certificate, issued 
for each class of service. 
Such limited certificate 
shall not be issued for 
elevators until the elevator 
has been tested with rated 
load, and the car safety, 
hoistway door interlocks, 
car door switch, and 
terminal stopping devices 
have been tested to 
determine the safety of the 
equipment for construction 
purposes . 

(2) Issuance for Personnel 
Hoist. The director may 
allow the temporary use of 
any personnel hoist under 
the authority of a limited 
certificate. Such limited 
certificate shall not be 
issued until the personnel 



824 



NORTH CAROLINA REGISTER 



hoist has been tested with 
rated load> and the car 
safety, hoistviay door 
interlocks, car door switch^ 
and terminal stopping 
devices have been tested to 
determine the safety of the 
equipment . 

(3) Life of Limited 
Certificates of Operation. 
Limited certificates of 
operation may in the case of 
an elevator be issued for a 
period not to exceed 90 
days. Limited certificates 
of operation for a personnel 
hoist may be used for a 
period not exceeding the 
length of the applicable 
construction project. Such 
certificates may be renewed 
at the discretion of the 
director upon receiving a 
written request showing 
justifiable cause for 
renewal . Such request must 
be received 15 days prior to 
the expiration of said 
limited certificate. 

(4) Posting of Limited 
Certificates of Operation. 
Limited certificates of 
operation shall be posted 
conspicuously on each 
elevator or personnel hoist . 
Such limited certificates 
for elevators shall bear a 
notice stating that the 
equipment has not been 
finally approved. 

.0307 MAINTENANCE AND PERIODIC 
INSPECTIONS AND TESTS 

(a) Inspections and Tests. 
Devices and equipment shall be 
subject to maintenance and 
periodic inspections and tests 
in accordance with the 
requirements of the applicable 
code as adopted in Section 200. 
Special equipment shall be 
subject to periodic and to 
maintenance inspections and 
tests as may be required by the 
director in accordance with 
standard accepted safety 
practices to ensure safe 
operation. 

(b) Inspections. 

(1) Advance Notice. 
Inspections shall be 
accomplished without advance 
notice, except where the 
director determines that 
advance notice of an 
inspection is necessary to 
complete the inspection. 

(2) Inspection Report Forms. 
The inspector will note 
findings of his inspection 
and tests on the appropriate 
inspection report form. 

(c) Certificate of Operation 
Issuance . 



(1) Closing Conference^ 
After the inspections and 
tests of the equipment 
prescribed in this Rule, the 
inspector shall, when 
possible, hold a closing 
conference with the owner or 
his representative. 

(2) Approval. When the 
inspector has determined 
that the equipment is in 
compliance with the 
regulations of this Chapter 
and all applicable law, the 
inspector may reissue the 
certificate of operation. 

(3) Denial. When the 
inspector has determined the 
equipment is not in 
compliance with the 
regulations of this Chapter 
and all applicable law, the 
inspector will provide the 
owner or his representative 
with a description of all 
violations and necessary 
repairs. 

(4) Abatement. In the event 
of a reissuance denial, the 
inspector may issue an 
abatement permit which will 
be valid for a period not 
exceeding 60 days. 

(5) Notice. When the 
equipment is brought into 
compliance, the owner or his 
representative shall notify 
the division in writing. 

(6) Reinspection. After a 
certificate reissuance 
denial, an inspector shall 
always reinspect to 
determine if the equipment 
is in compliance. 

(d) Tests. Periodic tests 
required by the elevator safety 
code will be performed in the 
presence of an elevator 
inspector whenever possible. In 
the absence of an inspector, a 
signed copy of the test report 
shall be sent to the director of 
the division without delay. The 
report shall be signed by the 
person conducting such tests. 

.0308 WIRING DIAGRAMS 
Wiring diagrams for elevators 
shall be left in the machine 
room in a permanently mounted 
receptacle and shall not be 
removed except by permission of 
the director. 

.0309 LIMITATIONS ON 

WHEELCHAIR LIFTS 

No inclined or vertical 
wheelchair lift shall be 
installed between any two floors 
already being served by an 
elevator. 

SECTION .0400 - AMUSEMENT 
DEVICES 



NORTH CAROLINA REGISTER 



825 



.0401 APPLICABILITY 
The Section is applicable to 
all amusement devices within the 
scope of Article 1 4B of Chapter 
95 of the General Statutes. 

.0402 RESPONSIBILITY FOR 
COMPLIANCE 

Every owner or operator of an 
amusement device shall comply 
with or affect compliance with 
all provisions of the rules of 
this Section, and every employer 
and employee shall comply with 
all provisions which concern or 
affect his conduct . 

.0403 LOAD TESTS 

(a) Test Required. Load tests 
will not be required on a 
regular basis. The director 
may, however, at his discretion 
require a load test to be made 
on devices of the following 
types : 

( 1 ) devices having suspended 
passenger seats or spaces, 

(2) devices normally operated 
at speeds or with movements 
creating severe centrifugal 
forces, 

(3) devices so elevated 

that ■ structural failure is 
likely to cause passengers 
to be injured by falling, or 

(4) devices which the 
director has ordered such a 
test upon finding it 
necessary to assure safety. 

(b) Evidence of Test. 

Unless a load test is made in 
the presence of a representative 
of the director, the director 
may accept a certified copy of 
such test made by a person 
qualified to perform such tests, 
showing whether the device 
withstood the test without 
failures in any material respect 
and setting forth such other 
relevant information as the 
director nay require. Until 
such a statement is so filed it 
shall be presumed that the 
device has not withstood the 
test as required. 

(c) Nature of Test. Each 
passenger seat or space shall be 
weighted with at least 150 
pounds dead weight, except that 
in a device intended only for 
small children each seat or 
space shall be weighted with at 
least 75 pounds . V.'hile so 
loaded the device shall be so 
operated at maximum normal speed 
as to test the full operation or 
all control devices, speed 
limiting devices, brakes and 
other equipment provided for 
safety . 

(d) Effect of Test. If the 



device fails to withstand a load 
test it shall be deemed unsafe 
and shall not be used until and 
unless it has withstood a 
subsequent load test without 
failure in any material respect. 
If the device has withstood a 
load test without failure in any 
material respect it shall be 
required to be so tested again 
only if rebuilt or modified or 
if there are reasonable grounds 
to believe that a further test 
is necessary to assure safety 
and the director orders such 
test to be made. 

.0404 LOCATION NOTICES 
No amusement device shall 
be used at any time or location 
unless prior notice has been 
given to the director pursuant 
to G.S. 95-111.8. Notice shall 
include : 
C 1 ) the name and permanent 
address of the operator, 

(2) the name and 
identification number of 
every amusement device, and 

(3) the intended date(s) and 
location(s) of use. 

.0405 INSPECTIONS 
An inspector shall inspect 
each amusement device at each 
location to determine if the 
device : 

( 1 ) has been soundly 
constructed and properly 
erected, 

(2) has been modified to 
comply with any changes in 
safety requirements 
prescribed by the 
manufacturer, 

(3) has complied with the 
rules and regulations of this 
Section, and 

(4) has in existence a 
policy of insurance as 
required by G.S. 95-111.12. 

.0406 UNSAFE DEVICES 
If the inspector finds that 
the amusement device presents an 
imminent danger, he may attach 
to such device a notice warning 
all persons against the use 
thereof. Such notice shall not 
be removed until the device is 
made safe, and then only by a 
representative of the director. 
In the meantime, the device 
shall not be used. 

.0407 IDENTIFICATION AND 
RATING PLATES 

Every amusement device 
shall be identified by a trade 
or descriptive name and an 
identification number, and there 
shall be firmly attached to the 
device in a readily visible 
location a metal plate upon 



826 



NORTH CAROLINA REGISTER 



which there is legibly impressed 
the name and number of the 
device, its model number if any, 
and the name and address of its 
manufacturer. Upon the same or 
another metal plate so attached 
there shall be legibly impressed 
the maximum safe number of 
passengers, and the maximum safe 
speed. 

.0408 REBUILT AND MODIFIED 
DEVICES 

If an amusement device 
which has withstood a 
performance test as required in 
Rule .0403 of this Section is 
thereafter materially rebuilt or 
so modified as to change its 
original action: 

(1) The device shall be 
re-identified by a different 
name or identification number 
or both. 

(2) The device shall be 
subject to all other rules of 
this Section as if it were a 
new device not previously 
used. 

.0409 ASSEMBLY AND DISASSEMBLY 

(a) Competent Supervision. 

The assembly and disassembly of 
an amusement device shall be 
done by or under the immediate 
supervision of a person 
e.xperienced and instructed in 
the proper performance of such 
work in respect to the device. 

(b) Quality of Assembly. 
Assembly work shall be performed 
in a proper and workmanlike 
manner. Parts shall be properly 
aligned, and shall not be bent, 
distorted, cut or otherwise 
injured to force a fit. Parts 
requiring lubrication shall be 
lubricated in course of 
assembly. Fastening and locking 
devices, such as bolts, cap 
screws, cotter pins, and lock 
washers, shall be installed 
where required for dependable 
operation. Nuts shall be drawn 
tight, cotter pins shall be 
spread and lock nuts firmly set. 
All brakes shall be adjusted for 
proper operation. 

(c) Welding. Welding of 
parts upon which safe operation 
depends shall be done by welders 
qualified in accordance with the 
requirements of the American 
Welding Society. 

(d) Quality and Inspection of 
Parts. Parts which are 
excessively worn or which have 
been materially damaged shall 
not be used. Close visual 
inspection of parts shall be 
made during assembly to discover 
such wear or damage and 
immediate inspection of 
fastening devices shall be made 



after assembly to assure that 
they have been properly 
installed. 

(e) Tools and Equipment. 
Persons engaged in the assembly 
or disassembly of amusement 
devices shall be provided with 
and shall use tools of proper 
size and design to enable the 
work to be done safely. Broken, 
damaged and unsuitable tools 
shall not be used. Electrically 
operated tools shall be grounded 
during use. Ladders, scaffolds, 
and safety belts used in 
assembly or disassembly work 
shall be of such design, 
material and construction as to 
provide reasonable and adequate 
protection to the persons using 
them. Fiber rope used in 
assembly or disassembly work 
shall be standard quality manila 
or equivalent in strength. 
Tackle blocks shall be of a size 
to fit the rope. All 
load-carrying equipment shall be 
designed and constructed 
throughout to support the 
intended load. 

(f) Lighting. Assembly and 
disassembly of amusement devices 
shall be done under light 
conditions sufficient to permit 
the work to be properly 
performed and inspected. 

(g) Persons in Work Area. 

A sufficient number of persons 
to do the work properly shall be 
engaged for the assembly or 
disassembly of amusement 
devices. Persons not so engaged 
in this work and who may create 
a hazard shall be prevented from 
entering the work area. 

.0410 DAILY INSPECTION AND 
TEST 

An amusement device shall 
be inspected and tested each day 
when it is intended to be used. 
The inspection and test shall be 
made by a person experienced and 
instructed in the proper 
assembly and operation of the 
device and shall be performed 
before the device is put into 
normal operation. The 
inspection and test shall 
include the operation of control 
devices, speed-limiting devices, 
brakes and other equipment 
provided for safety. A record 
of each inspection and test 
shall be made at once upon 
completion of the test on a form 
provided by the director and 
shall be kept with the device 
and available to the director 
for at least 30 days. 

.0411 CONTROL OF OPERATION 
Every operator shall 



NORTH CAROLINA REGISTER 



827 



have knowledge of the use and 
function of all normal emergency 
operation controls and of the 
proper use of the device. An 
operator shall be in the 
immediate vicinity of the 
operating controls during 
operation and no other person 
shall be permitted to handle 
such controls during normal 
operation. This provision does 
not apply to amusement devices 
designed to be operated or 
controlled by a passenger. 

.04J2 OVERLOADING AND 
OVERSPEEDING 

An amusement device shall 
not be overcrowded* or loaded in 
excess of its carrying capacity; 
nor shall it be operated at an 
unsafe speed or at any speed 
beyond that recommended by the 
manufacturer . 

.0413 WIND AND STORM 
HAZARDS 

An amusement device 
which is e.xposed to wind or 
storms shall not be operated 
under dangerous weather 
conditions except to release or 
discharge occupants. 

.0414 LIGHTING 

Amusement devices, access 
thereto and exits therefrom, 
shall, while in operation or 
occupied, be provided with 
illumination by natural or 
artificial means sufficient to 
guard against personal injuries 
under these circumstances. 

.0415 DESIGN AND 

CONSTRUCTION 
REQUIREMENTS 

(a) All structures used in 
connection with amusement 
devices shall be so designed and 
constructed as to carry safely 
all loads to which such 
structures may normally be 
subjected . 

(b) All amusement devices 
shall be designed, constructed 
and installed so as to withstand 
any normal stresses to which 
they may be subjected. 

(c) Before being used by 

the public, amusement devices 
shall be so placed or secured 
with blocking, cribbing, 
outriggers, guides or other 
means as to be stable under all 
operating conditions. 

.0416 NUMBER OF EXITS 
At least two exits remote 
from each other shall be 
provided from each floor, tier, 
room or balcony in structures 
which house amusement devices 
and which are not places of 



public assembly. No exit shall 
be less than 20 inches wide. 

.0417 ACCESS AND EGRESS 

(a) General Requirements. 
Safe and adequate means of 
access to and egress from 
amusement devices shall be 
provided. Such means of access 
and egress shall have: 

(1) protection from adjacent 
hazards or from falling by 
the use of rails, 
enclosures, barriers or 
similar means; 

(2) secure treading and 
supporting surface free from 
debris, obstruction, 
projections and slipping, 
tripping, and other hazards; 

(3) adequate clearance. 

(b) Design of Stairways, 
Landings and Ramps. Stairways, 
landings and ramps shall be 
designed, constructed and 
maintained so as to sustain 
safely a live load of at least 
90 pounds per square foot. 

(c) Stairways, Ramps and 
Platforms. Stairways and ramps 
shall be at least 20 inches 
wide. Stair treads shall be at 
least nine inches deep exclusive 
of nosing and the height of rise 
shall not exceed eight inches. 
Between any two levels the 
treads shall be of uniform depth 
and the risers of uniform 
height. The slope of ramps 
shall not exceed one in four. 
The open sides of stairways, 
ramps and platforms shall be 
provided with adequate 
protection against falling 
except as the safe and normal 
access to the device may 
otherwise require. 

(d) Measurement of Widths. 
The width of a stairway shall be 
taken as the length of the 
treads between stringers. The 
width of a doorway shall be 
taken as the width of the door. 

.0418 EMERGENCY BRAKES AND 
ANTI-ROLLBACK DEVICES 

If cars or other 
components of an amusement 
device may collide in such a way 
as to cause personal injuries 
upon failure of normal controls, 
emergency brakes sufficient to 
prevent such collisions shall be 
provided. On rides which make 
use of inclined tracks, 
automatic anti-rollback devices 
shall be installed to prevent 
backward movement of the 
passenger carrying units in case 
of failure of the propelling 
mechanism . 

.0419 SIGNAL SYSTEMS 
Signal systems for the 



828 



NORTH CAROLINA REGISTER 



starting and stopping of 
amusement devices shall be 
provided where the operator of 
the device does not have a clear 
view of the point at which 
passengers are loaded or 
unloaded. Any code of signals 
adopted shall be printed and 
kept posted at both operator's 
and signalman's stations. All 
persons who may use these 
signals shall be carefully 
instructed in their use. 
Signals for the movement or 
operation of an amusement device 
shall not be given until all 
passengers and other persons who 
may be endangered are in a 
position of safety. 

.0420 PUBLIC PROTECTION 
An amusement device shall 
not be used or operated while 
any person is so located as to 
be endangered by it . Areas in 
which persons may be so 
endangered shall be fenced » 
barricaded, or otherwise guarded 
against public intrusion. 

.0421 GUARDING OF MACHINERY 
Machinery used in or with 
an amusement device shall be 
enclosed, barricaded or 
otherwise effectively guarded 
against contact . Guards removed 
for maintenance purposes shall 
be replaced before normal 
operation is resumed. 

.0422 SPEED-LIMITING DEVICES 
REQUIRED 

An amusement device powered 
so as to be capable of exceeding 
its maximum safe operating speed 
shall be provided with a maximum 
speed-limiting device. 

.0423 PASSENGER-CARRYING 
DEVICES 

The interior and exterior 
parts of all passenger-carrying 
amusement devices with which a 
passenger may come in contact 
shall be smooth and rounded, 
free from sharp, rough or 
splintered edges and corners, 
with no protruding studs, bolts, 
screws or other projections 
which might cause injury. 
Interior parts upon or against 
which a passenger may be 
forcibly thrown by the action of 
the ride shall be adequately 
padded. Devices which are 
self-powered and which are 
operated by a passenger shall 
have the driving mechanism so 
guarded and the guards so locked 
in place as to prevent 
passengers from gaining access 
to the mechanism. Such belts, 
bars, foot rests and other 
equipment as may be necessary 



for safe entrance and exit and 
for support while the device is 
in operation shall be provided. 
Such equipment and the 
fastenings thereof shall be of 
sufficient strength to retain 
the passengers. The fastenings 
shall be of a type which cannot 
be inadvertently released. 

.0424 ELECTRICAL SAFETY 
REQUIREMENTS 

(a) General Requirements. 
All electrical wiring, 
equipment and apparatus used for 
amusement devices or for 
lighting shall be properly and 
legally installed, operated and 
maintained . 

(1) Branch Circuits. The 
circuit for each ride shall 
be protected by fuses or a 
circuit breaker at the 
junction box or at the 
generator . 

(2) Disconnecting Means. 
Each ride shall be provided 
with a main line disconnect 
switch or breaker. The 
disconnect switch or breaker 
shall be located at the 
ride. Each branch circuit 
on a ride shall be further 
provided with a 
disconnecting means. 

(3) Conductors. Conductors 
supplying current to rides 
shall be of moisture 
resistant construction and 
insulated for the maximum 
voltage supplied to the 
ride . 

(4) Grounding. Grounding of 
rides shall be by means of 
one or more grounding 
electrodes driven at the 
generator or other service. 
The grounding conductor to 
each junction box shall be 
of sufficient size to carry 
the maximum voltage 
generated by the system. 
Grounding conductors to each 
ride shall not be less than 
#8 awg. wire size. 

(b) Protection of Employees. 
No employee shall be suffered or 
permitted to work in such 
proximity to any part of an 
electric power circuit that he 
may contact the same in the 
course of his work unless he is 
protected against shock by 
de-energizing the circuit, 
grounding it or guarding it, by 
effective insulation. If 
protection is supplied by 
de-energizing the circuit, the 
switch controlling the circuit 
shall be locked out to prevent 
inadvertent closing. 

(c) High Voltage Lines. 

The outlets of electric power 
lines carrying more than 120 



NORTH CAROLINA REGISTER 



829 



volts shall be clearly marked to 
show their voltage. 

(d) Transformers. All 
electrical transformer 
sub-stations shall be properly 
enclosed and proper warning 
signs posted. 

(e) Outdoor Apparatus and 
Wiring. Electrical apparatus 
and wiring located outdoors 
shall be of such quality and so 
constructed or protected that 
exposure to weather will not 
interfere with its normal 
operation . 

(f) Elevated Lines. 
Elevated power lines crossing 
access or other roads within the 
grounds of a carnival, fair or 
amusement park shall be so 
suspended as to provide minimum 
vertical clearance of 12 feet 
from the road surface and 
minimum horizontal clearance of 
three feet on each side of the 
normal passage space of 
vehicles . 

(g) Grounding. Temporary 
electric installations shall be 
properly grounded. 

(h) Exposed Conductors. 
Bare wires and other uninsulated 
current-carrying parts shall be 
guarded against inadvertent 
contact by means of proper 
location or by fence or other 
barrier . 

(i) Overcurrent Protection. 
Conductors shall be provided 
v;ith overcurrent protective 
devices according to load. No 
such device shall be installed 
in neutral or grounding 
conductors . 

(j) Generator Grounding. 
Where electrical power is 
supplied for an amusement device 
or a temporary structure by a 
privately operated generating 
system, the generator and all 
equipment shall be properly 
grounded if the system 
incorporates a ground. 

(k) Receptacles and Caps. 
All receptacles and attachment 
caps shall be of the ground 
type. 

(1) Abrasion Protection. 
Wiring laid on surfaces 
traversed by vehicular or 
pedestrian traffic shall be 
adequately protected against 
wear and abrasion. 

.0425 AIR COMPRESSORS 
AND EQUIPMENT 

Air compressors, air 
compressor tanks and equipment 
used in connection therewith 
shall be constructed, equipped 
and maintained to insure safe 
operation at all times. They 
shall bo inspected and tested at 
least once a year by a qualified 



person and a record of oach 
inspection shall be kept and 
made available to the inspector. 
Air compressor tanks and other 
air receivers used in connection 
with air compressors shall have 
the maximum allowable working 
pressure conspicuously marked 
thereon. 

.0426 FIRE PREVENTION 
AND PROTECTION 

(a) Fire Resistance of 
Fabrics. Fabrics constituting 
part of an amusement device 
shall be fire-resistant to meet 
the follov;ing standard: Two 
strips or test sections either 
of the fabric used or of other 
fabric identical therewith shall 
be tested. Each strip shall be 
not less than six inches wide 
and 12 inches long. Each strip 
shall be thoroughly dry and 
shall then be subjected to an 
open flame applied to the lower 
edge while the strip is held 
vertically for 12 seconds. 
Neither strip shall flame for 
more than two seconds after the 
test flame is removed from 
contact nor shall the average 
length of char exceed 2-1/2 
inches. Such a test is not 
required by this Section if 
other evidence of the required 
degree of fire resistance is 
accepted by the commissioner as 
sufficient . 

(b) Fire Extinguishers. 
Approved fire extinguishers 
shall be provided where 
necessary to secure reasonable 
and adequate protection from 
fire hazards. 

(c) Flammable Waste. 
Flammable waste such as oily 
rags and other flammable 
materials shall be placed in a 
covered metal container which 
shall be kept in easily 
accessible locations. Such 
containers shall not be kept at 
or near e.xits. 

(d) Flammable Liquids and 
Gases. Gasoline and other 
volatile liquids and flammable 
gases when stored shall be kept 
in reasonably cool and 
ventilated places. Such liquids 
shall be in approved safety 
cans. They shall not be stored 
on or near a device while it is 
in operation. Smoking and the 
carrying of lighted cigar, 
cigarettes or pipes is 
prohibited in any area where 
such liquids or gases are stored 
or are transferred from one 
container to another. 

.0427 CLEANLINESS 
A suitable number of 



830 



NORTH CAROLINA REGISTER 



metal containers for refuse 
shall be provided in and around 
all amusement devices. 
Excessive accumulations of trash 
or rubbish shall be promptly 
removed. All parts of amusement 
devices used by passengers or 
customers shall be maintained in 
a clean condition. 

.0428 SUBSTITUTE DEVICES AND 
PARTS 

IVhenever the owner or operator 
of an amusement device desires 
to install or use a substitute 
part or device v/hich is not 
consistent with the 
manufacturer's specifications, 
the owner or operator shall be 
responsible for proving, to the 
satisfaction of the director, 
that the use of the substitute 
part or device is as safe as the 
use of the manufacturer's 
specified part or device. The 
cost of all testing shall be 
borne by the owner or operator. 

SECTION .0500 - CIVIL MONEY 
PENALTIES 

.0501 CIVIL PENALTIES 

In civil penalty cases, 
the director of the division 
shall notify the owner or 
operator by certified mail of 
the following: 

(1) the nature of the 
violation; 

(2) the amount of the civil 
penalty; 

(3) the civil penalty 
determination will become 
final, unless within 15 days 
after receiving notice 
thereof the employer charged 
with a violation and penalty 
takes exception to the 
determination; and 

(4) the procedure for taking 
e.xception as provided in Rule 
.0502 of this Section. 

.0502 EXCEPTIONS TO CIVIL 
PENALTY 

(a) The owner or operator 
must file a written exception to 
the civil penalty determination 
within 15 days after receipt of 
the notification of the civil 
penalty or the determination 
will become final . 

(b) The exception to the 
determination must be filed with 
the Director, Elevator and 
Amusement Device Division, North 
Carolina Department of Labor, 4 
West Edenton Street, Raleigh, 
North Carolina 27601. 

(c) No particular form is 
prescribed for the exception. 
However, the exception should be 
typed or clearly written, must 
be directed to the issue of the 



violations and the assessment, 
and must state the reasons why 
the owner or operator contends 
the determination is in error, 
(d) If an exception is filed 
within 15 days of receiving 
notification of the civil 
penalty the employer is entitled 
to an administrative hearing 
pursuant to Article 3 of Chapter 
150B of the North Carolina 
General Statutes. 

TITLE 15 - DEPARTMENT OF NATURAL 

RESOURCES a COMMUNITY 

DEVELOPMENT 

Notice is hereby given in 
accordance with G.S. 1508-12 
that the Division of Community 
Assistance intends to adopt 
regulations cited as 15 NCAC 13N 
.0101-. 0604. 

The proposed effective date of 
this action is September 1, 
1987. 

Statutory Authority i G.S. 
143-323; 143B-276. 

The public hearing will be 
conducted from 7:00 - 9:00 p.m. 
on June 2 at , Wilson Operations 
Center, Goldsboro Street* 
Wilson, N.C. On June 3 at The 
Railroad Depot, 200 S. Main 
Street/ Burlington, N.C. On 
June 4 at Rotary Auditorium, 
Mitchell Community College, West 
Broad Street, Statesville, N.C. 

Comment Procedures: Comments 
may be presented at the public 
hearings or mailed to Alice 
Beddingf ield. Director, Division 
of Community Assistance, 
Department of Natural Resources 
and Community Development, P. 0. 
Box 27687, Raleigh, N.C. 
27611-7687. 

CHAPTER 13 - DIVISION OF 
COMMUNITY ASSISTANCE 

SUBCHAPTER 13N - EMERGENCY 

SHELTER GRANTS PROGRAM 

ADMINISTRATIVE RULES 

SECTION .0100 - GENERAL 
PROVISIONS 

.0101 PURPOSE AND OBJECTIVES 
Tho purpose of the North 
Carolina Emergency Shelter 
Grants Program (hereinafter 
referred to as "ESGP") is to 
assist families and individuals 
who are homeless primarily due 
to their economic circumstances, 
consistent with this purpose, 
ESGP funds will assist local 
governments in improving the 
quality and availability of 



NORTH CAROLINA REGISTER 



831 



emergency shelters and services 
for the homeless in their 
community . 

.0102 DEFINITIONS 

(1) "Act" means the Homeless 
Housing Act of 1986, P.L. 
99-500, as amended. 

(2) "Applicant" means a local 
government which makes an 
application pursuant to the 
provisions of this 
Subchapter . 

(3) "Chief Elected Official" 
means either the elected 
Mayor of a City or the 
Chairman of a County Board 
of Commissioners. 

(4) "ESGP" means the state- 
administered Emergency 
Shelter Grants Program. 

(5) "Entitlement Cities" 
means those cities in North 
Carolina that received their 
1986 Community Development 
Block Grant allocation 
directly from the U. S. 
Department of Housing and 
Urban Development. 

(6) "Local Government" means 
any unit of general city or 
county government in the 

(7) "NRCD" means the North 
Carolina Department of 
Natural Resources and 
Community Development. 

(8) "Recipient" means a local 
government that has been 
awarded an ESGP grant and 
has e.xecuted a Grant 
Agreement with NRCD. 

(9) "Secretary" means the 
Secretary of the Department 
of Natural Resources and 
Community Development or his 
designee . 

(10) "State" means the state 
of North Caolina. 

.0103 WAIVERS 

The secretary may waive any 
requirements of this Subchapter 
not required by law whenever he 
determines that undue hardship 
to applicants, recipients or 
beneficiaries will result from 
applying the requirements and 
where application of the 
requirements whould adversely 
affect the purposes of the Act . 

.0104 ELIGIBLE APPLICANTS 
Eligible applicants are all 
local governments. 

SECTION .0200 - ELIGIBLE AND 
INELIGIBLE ACTIVITIES 

.0201 ELIGIBLE ACTIVITIES 
This Subchapter adopts by 
reference as eligible activities 
those activities described as 
such in the Act and in 24 CFR 



575.21(a). Copies of these 
sections of federal law and 
regulation are available for 
public distribution from the 
Division of Community Assistance 
of NRCD. 

.0202 INELIGIBLE ACTIVITIES 
This Subchapter adopts by 
reference as ineligible 
activities those activities 
described as such in the Act and 
in 24 CFR 575.21(b). Copies of 
those sections of federal law 
and regulation are available for 
public distribution from the 
Division of Community Assistance 
of NRCD. 

SECTION .0300 - DISTRIBUTION 
OF FUNDS 

.0301 SIZE AND USE OF GRANTS 

(a) There is no minimum grant 
amount which applicants may 
request or be av/arded. Grant 
awards shall not exceed ' five 
thousand dollars ($5,000) in 
ESGP funds per applicant per 
year, except in the case of 
entitlement cities which may 
request and be awarded ESGP 
funds up to the amount shown on 
the "ESGP Entitlement Allocation 
Table" published by the Division 
of Community Assistance of NRCD. 
Copies of this table are 
available for public 
distribution from the Division 
of Community Assistance of NRCD. 

(b) Notwithstanding the 
provisions of Paragraph .0301(a) 
above, NRCD reserves the right 
to decrease the requested grant 
amounts in the event that the 
total amount of funds requested 
exceeds the total amount of 
funds available. NRCD also 
reserves the right to increase 
requested grant amounts and 
award grants exceeding the five 
thousand dollars ($5,000) limit 
if the total amount of funds 
requested is less than the total 
amount of funds available. 

.0302 REALLOCATION 

Any ESGP funds recaptured by 
NRCD, as provided for in Rule 
.0604 and Rule .0505 of this 
Subchapter, may be distributed 
to grant recipients in a manner 
to be prescribed by NRCD. 

.0303 GENERAL APPLICATION 
REQUIREMENTS 

(a) Local governments are 
required to submit applications 
in a manner prescribed by NRCD 
in order to be considered for 
funding. Selection of 
applications for funding will be 
based primarily on information 
contained in the application. 



832 



NORTH CAROLIN.;. REGISTER 



thus applications must provide 
sufficient information for NRCD 
to evaluate them. Applicants 
may apply for more than one 
grant and be awarded more than 
one grant, providing the total 
amount of grants awarded to an 
applicant does not exceed the 
maximum limits described in rule 
.0301 of this Section. 

(b) NRCD shall designate 
specific dates for submission of 
ESGP grant applications. Grant 
application submission dates 
will be announced by NRCD at 
lea^t 20 days before the date 
applications are due. 

(c) Applications must be 
received by NRCD administrative 
offices in Raleigh before 5:00 
p.m. on the submission date or, 
if sent by mail, must be 
postmarked on the submission 
date. 

(d) The applicant shall 
certify to NRCD that it will 
comply with all applicable 
federal and state laws, 
regulations, rules and executive 
orders. Copies of these federal 
and state documents are 
available for public 
distribution from the Division 
of Community Assistance of NRCD. 

(e) Applicants must comply 
with the Act, all applicable 
federal and state laws, 
regulations, rules, executive 
orders and guidelines issued by 
NRCD. 

SECTION .0400 - GRANT SELECTION 
PROCESS 

.0401 ELIGIBILITY REQUIREMENTS 

(a) Applications must show 
that funds received under ESGP 
will be expended within 180 days 
after the date that NRCD makes 
the grant available to the 
recipient. Applications that do 
not meet this requirement will 
not be rated or funded. 

(b) Applications must show 
that matching resources required 
by the federal government are 
available. Applications that do 
not meet this requirement will 
not be rated or funded. 

.0402 EVALUATION FACTORS 

(a) Applications will be 
selected for funding by NRCD 
based on overall project 
quality, geographic distribution 
of applicants, and the 
availability of ESGP funds. 

(b) Project quality will be 
determined by NRCD based on the 
following factors: 

(1) Benefits of proposed 

activitites to homeless 
persons, including type and 



number of both current and 
new beneficiaries; 
(2) Feasibility of the 

proposed activities, 
including: 

(A) Local resources for 
sheltering the homeless; 

(B) Local commitment to 
continue the program to be 
assisted with ESGP Funds. 

SECTION .0500 - GRANT 
ADMINISTRATION 

.0501 GRANT AGREEMENT 

(a) Upon approval of the 
application by NRCD, a written 
grant agreement will be executed 
between the recipient and NRCD. 
The rules in this Subchapter, 
subsequent quidelines prepared 
by NRCD, the approved 
application, and any subsequent 
amendments to the approved 
application shall become a part 
of the grant agreement. 

(b) The grant agreement in 
its original form and all 
modifications thereto shall be 
kept on file in the office of 
the recipient in accordance with 
rule .0504 of this Section. 

(c) ESGP Program amendments. 
Recipients shall request prior 
NRCD approval for all amendments 
to the grant agreement whem 

(1) The recipient proposes to 
change the approved project 
budget amount for any of the 
three categories of eligible 
activities as described in 
24 CFR 575.21(a). 

(2) The recipient proposes to 
distribute all or part of 
their grant (s) to programs 
or agencies other than 
originally approved in the 
application. 

(d) NRCD reserves the right 

to disallow any proposed 
amendment to the grant 
agreements . 

.0502 METHOD OF ADMINISTRATION 

(a) Recipients may delegate to 
statutorily authorized 
subrecipients the responsibility 
of undertaking or carrying out 
ESGP activities. All entities 
so designated under this 
Subparagraph by recipients to 
undertake or carry out ESGP 
activities pursuant to this 
Subchapter shall be considered 
subrecipients . 

(b) Recipients may contract 
with any person, association, or 
corporation in undertaking 
specified ESGP activities. 

(c) NRCD shall make payments 
of ESGP funds to recipients on a 
cost-reimbursement or 
cost-incurred basis. A 
recipient may request up to 



NORTH CAROLINA REGISTER 



833 



three (3) payments of ESGP grant 
funds per grant in the manner 
prescribed by NRCD . 

.0503 PROPERTY MANAGEMENT 
STANDARDS 

(a) Property acquired with 
ESGP grant funds shall be used 
to provide benefits to the 
homeless . 

(b) Recipients and 
subrecipients are encouraged to 
use proceeds from the 
disposition of property acquired 
with ESGP funds in a manner 
which provides benefit to the 
homeless in their community. 

.0504 RECORDKEEPING 

(a) NRCD, or any of NRCD's 
duly authorized representatives, 
shall have access to all books, 
accounts, records, reports, 
files, and other papers or 
property of recipients or their 
subrecipients and contractors 
pertaining to funds provided 
under this Subchapter for the 
purpose of making surveys, 
audits, e.xaminations, excerpts 
and transcripts. 

(b) Financial records, 
supporting documents and all 
other reports and records 
required under this Subchapter, 
and all other records pertinent 
to the ESGP Program shall be 
retained by the recipient for a 
period of at least one year from 
the date of the closeout of the 
program, or longer in the 
following circumstances: 

(1) Records documenting 
compliance with 24 CFR 
575.53 shall be kept for the 
period of compliance; 

(2) Records shall be retained 
until all litigations, 
claims, or audit findings 
involving the records have 
been resolved. 

(c) All records shall be 
sufficient to determine 
compliance with the requirements 
and primary objectives of the 
ESGP Program and all other 
applicable laws and regulations. 
All accounting records shall be 
supported by source 
documentation and show 
compliance with Rule .0503 of 
this Section. 

.0505 GRANT CLOSEOUTS 
ESGP grants will be closed 
out by NRCD in the following 
circumstances : 
(1 ) NRCD will initiate 

closeout procedures after 
NRCD determines, in 
consultation with the 
recipient, that there are no 
impediments to closeout and 



that all ESGP funds have been 
expended . 

(2) Termination of grant for 
mutual convenience. Grant 
assistance provided under 
this Subchapter may be 
cancelled, in whole or in 
part, by NRCD or the 
recipient, prior to the 
completion of the approved 
ESGP Program, when both 
parties agree that the 
continuation of the program 
no longer is feasible or 
would not produce beneficial 
results commensurate with the 
further e.xpenditure of funds. 

(3) Termination for cause. 
The secretary may terminate 
the recipient's entire grant, 
or the remaining balance 
thereof, in accordance with 
Rule .0604 of this 
Subchapter . 

SECTION .0600 - COMPLIANCE AND 
REPORTING REQUIREMENTS 

.0601 COMPLIANCE 

Recipients shall have 
responsibility for ensuring that 
ESGP funds are expended as 
stated in their grant agreement 
and in conformance with all 
applicable federal and state 
laws, regulations, and 
guidelines, regardless of 
whether activities are carried 
out by the recipient or a 
subrecipient . NRCD may 
prescribe procedures for 
ensuring compliance with the 
provisions of this Rule. 

.0602 REPORTING 

(a) NRCD may require 
recipients to provide an interim 
performance report in a form 
prescribed by NRCD. Recipients 
will be notified at least 20 
days before the report will be 
due . 

(b) The recipient shall 
submit an Annual Performance 
Report to NRCD no later than 210 
days after the date that NRCD 
makes the grant available to the 
recipient. The annual 
performance report shall be in a 
form prescribed by NRCD. 

.0603 MONITORING BY NRCD 

(a) The secretary may evaluate 
activities conducted under this 
Subchapter and their 
effectiveness in meeting the 
objectives of the ESGP program. 

(b) The secretary may conduct 
such evaluations using NRCD 
personnel, or by contract or 
other arrangement with public or 
private agencies. 

.0604 REMEDIES 



834 



NORTH CAROLINA REGISTER 



When the secretary determines 
on the basis of a review of a 
recipient's performance that the 
objectives of an ESGP program 
described in the grant agreement 
have not been met, NRCD may take 
one or more of the following 
actions as appropriate) 

(1) Issue a warning letter 
that further failure to 
comply with such requirements 
will result in a more serious 
sanction; 

(2) condition a future grant; 



(3) Direct the recipient to 
stop the incurring of costs 
with grant amounts; 

(4) Require that some or all 
of the grant amounts be 
remitted to NRCD; 

(5) Reduce the level of funds 
the recipient would otherwise 
be entitled to receive; or 

(6) Elect not to provide 
future grant funds to the 
recipient until appropriate 
actions are taken to ensure 
compliance . 



NORTH CAROLINA REGISTER 



835 



FINAL RULES 

When the text of any adopted 
rule differs from the text of 
that rule as proposed, upon 
request from the adopting 
agency, the text of the adopted 
rule will be published in this 
section. 

When the text of any adopted 
rule is identical to the text of 
that as proposed, adoption of 
the rule will be noted in the 
"List of Rules Affected" and the 
text of tlie adopted rule will 
not be republished. 

Adopted rules filed by the 
Departments of Correction, 
Revenue and Transportation are 
published in this section. 
These departments are not 
subject to the provisions of 
G.S. 150B, Article 2 requiring 
publication of proposed rules. 

TITLE 5 - DEPARTMENT OF 
CORRECTION 

CHAPTER 2 - DIVISION OF 
PRISONS 

SUBCHAPTER 2F - CUSTODY AND 
SECURITY 

SECTION .2300 - INMATE 

MATERNITY LEAVE 

PROGRAM 

.2301 PURPOSE 

The Inmate Maternity Leave 
Program is designed to provide 
temporary in-state leave 
privileges for selected minimum 
custody inmates who give birth 
to children while committed to 
the custody of the North 
Carolina Department of 
Correction. Inmates will be 
selected for this program based 
on the potential benefits to 
newborn children of 
post-delivery bonding. 

Inmate Maternity Leave will 
be subject to the following 
restrictions : 

( 1 ) An inmate may take Inmate 
Maternity Leave only in the 
home of one of the inmate's 
legal relatives. The legal 
relative in question must 
also be the caretaker 
approved by the local 
Department of Social Services 
to assume responsibility for 
the child of the inmate when 
the mother returns to prison. 

(2) Inmates who have rejected 
or who have been denied 
postponement of sentencing on 
grounds of pregnancy under 
provisions of G.S. 
15A-1353(a) are not eligible. 



(3) Inmate Maternity Leave 
will begin no sooner than and 
immediately after discharge 
of mother and infant from 
medical facilities at which 
the birth has occurred. 
Leave may be granted prior to 
delivery only in 
extraordinary circumstances. 
For example, leave may be 
granted in cases where 
inmates have arranged for 
maternity care at their own 
expense or at the expense of 
agencies other than the 
Department of Correction. 
Such arrangements must be 
made in accordance with 
Division of Prisons Health 
Care Policy 710. 

(4) Inmate Maternity Leave 
may be awarded for as little 
as one day but under no 
circumstances will it exceed 
a total of 60 days. 

History Note: Statutory 
Authority G.S. 148-4; 
148-11; 
Eff. April 1, 1987. 

.2302 PROCEDURE 

(a) Requests to Participate. 

(1) Application. Any 
pregnant inmate, regardless 
of where incarcerated, who 
desires to participate in 
the Inmate Maternity Leave 
Program must make a written 
application to participate 
to the Superintendent of the 
North Carolina Correctional 
Center for Women. The 
request must be made at 
least six weeks prior to the 
anticipated date of birth to 
allow time for processing. 
The Superintendent of the 
North Carolina Correctional 
Center for Women shall 
provide a form entitled 
"Application for Inmate 
Maternity Leave" to every 
pregnant inmate who, having 
been informed about the 
program, desires to apply. 

(2) Case Reviews. The 
Superintendent of the North 
Carolina Correctional Center 
for Women will ensure that a 
documented case review is 
made for each inmate who 
applies for participation in 
the Inmate Maternity Leave 
Program. 

(3) Grounds for Denial. The 
Superintendent of the North 
Carolina Correctional Center 
for Women may deny or 
withdraw approval for 
participation in the program 
on the basis of any of the 
following conditions: 

(A) Sentence Length. 



836 



NORTH CAROLINA REGISTER 



A total sentence length 
upon commitment which is 
greater than 5 years; 

(B) Pending Criminal 
Charges. Pending criminal 
charges in any 
jurisdiction; 

(C) Recidivism. Evidence 
of one or more previous 
commitments within the 
prison system of any 
jurisdiction; 

(D) Violation of Probation. 
A current commitment as a 
result of probation 
violationC s ) ; 

(E) Institutional Record. 
An institutional record of 
two or more major offenses 
within the six months 
prior to anticipated date 
of delivery; 

(F) Record of Violence. A 
record of violent or 
aggressive behavior, child 
abuse, or child neglect; 

(6) Record of Drug Abuse. 
A record of serious drug 
usage, any drug 
trafficking or sales, or 
other serious substance 
abuse; 

(H) Rejection of Sentence 
Postponement . Evidence 
that the inmate has 
rejected postponement of 
service of sentence on 
grounds of pregnancy under 
G.S. 15A-1353(a); 

(I) Denial of Sentence 

Postponement. Evidence 
that the inmate has been 
considered for and denied 
postponement of service of 
sentence on grounds of 
pregnancy under G.S. 
15A-1353(a). Any inmate 
who is pregnant at the 
time she begins serving 
her sentence shall be 
presumed to have been 
considered for and denied 
postponement of service of 
sentence in the absence of 
information from the court 
of record that she has not 
been considered for and 
denied postponement of 
service of sentence on 
grounds of pregnancy; 

(J) Objection by the 

Sentencing Court. 

Evidence that officials of 
the sentencing court 
object to maternity leave 
for the inmate; 

(K) Denial or Revocation of 
Certification by Social 
Services. Evidence that 
the local Department of 
Social Services refuses to 
certify the home of the 
caretaker for the mother 
and child; 



(L) Psychiatric 

Recommendations. Negative 
psychiatric and 

psychological assessments 
and evaluations; and 
(M) Threats to Public 

Safety and the General 

Welfare. Other specific 

conditions which threaten 

public safety or the 

health and general welfare 

of child and/or mother. 

(4) Inmate Maternity Leave 

Program Plan. For any 

inmate who qualifies on the 

basis of conditions 

specified above, the 

Superintendent of the North 

Carolina Correctional Center 

for Women will prepare a 

"Maternity Leave Program 

Plan". This shall include, 

in the order given, the 

following completed forms 

and documents: 

(A) Inmate Maternity Leave 
Checklist. This form 
documents that all 
eligibility requirements 
have been satisfied and 
that all documents of the 
plan are in order; 

(B) Inmate Maternity Leave 
Form. This form from the 
sentencing court 
establishes whether the 
inmate did or did not 
reject postponement or 
have postponement of 
service of sentence denied 
under provisions of G.S. 
15A-1353(a); 

(C) Local Department of 
Social Services Home 
Certification for Newborn 
Children. This form 
documents that the 
proposed home is 
acceptable for the child 
in question; 

(D) Relative Caretaker 
Agreement . This 
establishes that the adult 
relative(s), who will be 
responsible for the inmate 
and child, agree(s) to 
accept this 
responsibility; 

(E) Psychological 
Assessment ; 

(F) Emergency Termination 
Plan in DC 142 and in The 
Relative Caretaker 
Agreement (above); 

(G) Local Law Enforcement 
Notification Form; 

(H) Response from the 

Prosecuting District 
Attorney; 

(I) Temporary Leave 
Form (DC-325); 

(J) Extension of Limits 
Form CDC 142). This will 
be modified as appropriate 



NORTH CAROLINA REGISTER 



837 



in individual cases to 
accommodate inmate 

maternity leave; 
(K) Local Monitoring Plan; 
(L) Inmate Maternity Leave 
Agreement. This agreement 
establishes that ■ the 
inmate agrees to all 
specific conditions 
established for her own 
inmate maternity leave; 
(M) Medical Clearance; 
(N) Institutional 

Classification Form (DC 
121 ). 
(b^ Approval. The 

Superintendent of the North 
Carolina Correctional Center 
for Women shall recommend 
approval or disapproval of 
each Application for Inmate 
Maternity Leave. The 
Secretary of Correction or 
designee shall be the 
approving authority for the 
Inmate Maternity Leave 
Program . 

(c) Monitoring. 

(1) The responsibility for 
monitoring inmates on 
maternity leave is assigned 
to the Superintendent of the 
North Carolina Correctional 
Center for Women and local 
parole or probation 
officers . 

(2) The Superintendent 

shall notify the Director of 
the Division of Adult 
Probation and Parole or 
designee whenever an inmate 
is placed on inmate 
maternity leave. The 
director shall ensure that 
the inmate is monitored at 
home on a face-to-face basis 
during an unannounced visit 
at least once every week for 
the duration of the inmate's 
maternity leave. 

(3) Local Department of 
Social Services monitoring 
reports may also be used in 
determining if the inmate on 
leave is fulfilling the 
terms of the Inmate 
Maternity Leave Plan. 

(4) Additionally, reports 
from the adult relative(s) 
who are signatories to the 
Relative Caretaker Agreement 
may be used to assist 
Department of Correction 
officials in determining 
whenever leave compliance is 
sufficiently changed to 
warrant leave termination. 

(d) Modifications. When 
changes in the terms of an 
Inmate Maternity Leave Plan 
appear to be advisable or 
required, these changes shall be 
proposed, documented, and 
approved in the same manner 



required for initial approval of 
the plan. 

(e) Gain Time. Inmates on 
inmate maternity leave shall not 
receive gain time for time spent 
away from the North Carolina 
Correctional Center for Women. 

(f) Custody Level. Inmates 

on inmate maternity leave will 
be in Minimum Custody Level III 
for the duration of their 
leaves. Upon termination of 
inmate maternity leave, the 
custody level and privileges of 
inmates will be reviewed. 

History Note: Statutory 
Authority G.S. 148-4; 
148-11; 
Eff. April 1, 1987. 

.2303 TERMINATION OF LEAVE. 

(a) Emergency Termination. 

If rule violations or other 
emergency conditions occur, the 
Superintendent of the North 
Carolina Correctional Center for 
Women may terminate Inmate 
Maternity Leave prematurely. 
Inmate Maternity Leave may be 
terminated prematurely based 
upon any of the following: 

(1) Use of alcohol, of drugs 
or of other illegal 
substances, or abuse of 
prescription medications; 

(2) Association with known 
criminals; 

(3) Acceptance of gainful 
employment; 

(4) Incurrence of 
indebtedness without agency 
approval; 

(5) Violation of state or 
local laws; 

(6) Travel, without approval, 
beyond the agreed limits in 
the Maternity Leave Plan, 
specifically the DC-142ML 
and Inmate Maternity Leave 
Agreement Forms; 

(7) Engaging in activities 
prohibited by specific leave 
conditions. Department of 
Correction policy, or laws 
imposed upon inmates or 
persons with restrictive 
citizenship; and 

(8) Contact with the victims 
of the crimes for which the 
inmate is serving time 
without specific 
authorization . 

(b) Disciplinary Action. Any 
inmate who violates conditions 
specified in the Extension of 
Limits Form or who fails to 
report to the Correctional 
Center for Women at the end of 
the leave period or who fails to 
report to appropriate 
authorities in cases of 
emergencies shall be subject to 
disciplinary action for 



838 



NORTH CAROLINA REGISTER 



violation of offense number(s) 
24, 25, and or any other 
applicable offense(s). 

(c) Routine Termination. Any 
Inmate awarded inmate maternity 
leave must report to the 
Superintendent of the North 
Carolina Correctional Center for 
Women by the date and time 
specified on the Temporary Leave 
Form included in her Inmate 
Maternity Leave Program Plan. 

History Note: Statutory 
Authority G.S. 148-4; 
148-11; 
Eff. April 1, 1987. 

.2304 DESIGN AND 
EVALUATION 

(a) The Superintendent of the 
North Carolina Correctional 
Center for Women shall be 
responsible for design and 
evaluation of training and 
treatment components of the 
Inmate Maternity Leave Program. 
The superintendent shall prepare 
an annual evaluation report for 
the Director of Prisons which 
shall be due one month after the 
end of the calendar year. 

(b) This report shall 
include, but need not be limited 
to, the following statistical 
information: 

(1) Number of pregnant 

inmates admitted to the 
North Carolina Department of 
Correction during the year 
by length of sentence, by 
month and day of pregnancy 
upon commission of the crime 



for which sentenced, by 
month and day of pregnancy 
when arrested, by month and 
day of pregnancy upon 
sentencing and commitment, 
by county, and by area of 
origin; 

(2) Number and percentage 

of pregnant inmates admitted 
during the year who applied 
for maternity leave; 

(3) Number of inmates, of 
those who applied for inmate 
maternity leave, who were 
awarded inmate maternity 
leave by county and area of 
origin; 

(4) Of those inmates who 
were denied inmate maternity 
leave, the number , and 
percentage who were 
ineligible on the basis of 
each of the Grounds for 
Denial listed herein or for 
other reasons; 

(5) Number and percentage 

of inmates whose inmate 
maternity leaves were 
terminated prematurely and 
reasons for, these 
terminations; 

(6) Number and percentage 

of pregnant inmates who were 
awarded inmate maternity 
leave, prior to delivery, on 
the basis of Division of 
Prisons Health Care Policy 
710. 

History Note: Statutory 
Authority G.S. 148-4; 
148-11; 
Eff. April 1, 1987. 



NORTH CAROLINA REGISTER 



839 



NORTH CAROLINA ADMINISTRATIVE CODE 
LIST OF RULES AFFECTED 



EDITION XI, NO. 5 
AGENCY 



CORRECTION 
5 



NCAC 2F .2201 -.2205 



CULTURAL RESOURCES 

7 NCAC 4R .0401 -.0410 
n .0501-. 0504 



EFFECTIVE: March 1, 1987 
ACTION TAKEN 

Adopted 



Repealed 
Adopted 



GOVERNOR'S OFFICE 










9 NCAC 


2 


Executive Order Number 31 


HUMAN RESOURCES 










1 NCAC 


3N 


.0101- 


.0106 


Repealed 






.0201- 


.0203 


Repealed 






.0301- 


.0321 


Repealed 






.0401- 


.0404 


Repealed 






.0501- 


.0524 


Repealed 




4B 


.0101 




Amended 






.0102- 


.0103 


Repealed 






.0104- 


.0105 


Amended 






.0106 




Repealed 






.0108- 


.0109 


Amended 






.0201- 


.0208 


Repealed 




7A 


.0503 
.0503 




Temp. Adopted 
Expires 5-31-87 
Adopted 




26H 


.0507 




Adopted 


INSURANCE, 










1 1 NCAC 


10 


.0304 

.0304 
.0312 

.0312 




Temp . Amended 
Expires 5-31-87 
Amended 
Temp Adopted 
E.xpires 5-31-87 
Adopted 


LABOR 










1 3 NCAC 


5 


.0104 
.0213 
.0301 




Amended 
Adopted 
Amended 




7C 


.0102 




Amended 


NATURAL RESOURCES 


AND 


COMMUNITY DEVELOPMENT 


1 5 NCAC 


3A 


.0003 




Repealed 




38 


.0304 
.0310 
.0504 




Amended 
Adopted 
Amended 




6C 


.0404 
.0407 




Amended 
Amended 




lOF 


.0303 
.0322 




Amended 
Amended 




16D 


.0201 




Amended 


PgVENUE 










1 7 NCAC 


6B 


.3802 




Amended 




7B 


.2801 
.4601 
.5445 




Amended 
Amended 
Adopted 




7C 


.0204 




amended 




9F 


.0001- 


.0003 


Amended 




9G 


.0102 




Amended 






0105- 


.0106 


Amended 






.0201 




Amended 






.0203- 


.0204 


Amended 






.0301 




Amended 



840 



NORTH CAROLINA RLGISTER 



9H 



91 



9J 



.0303 
.0305 
.0307 
.0401 
.0403 
.0501 
.0507 
.0511 
.0513 
.0515 
.0102 
.0201 
.0204 
.0206 
.0301 
.0303 
.0402 
.0404 
.0407 
.0408 
.0101 
.0102 
.0202 
.0304 
.0401 
.0501 
.0506 
.0201 
.0203 



.0404 
,0505 
.0510 

.0514 

,0103 
,0203 
,0205 



.0304 
,0403 



-.0103 



,0403 
,0504 



-.0204 



Amended 

Repealed 

Repealed 

Amended 

Amended 

Amended 

Amended 

Repealed 

Amended 

Repealed 

Amended 

Amended 

Repealed 

Amended 

Amended 

Amended 

Amended 

Repealed 

Amended 

Adopted 

Repealed 

Amended 

Amended 

Amended 

Amended 

Amended 

Adopted 

Amended 

Amended 



BOARD OF CPA EXAMINERS 
21 NCAC 8G 



EC 



.0107 

.0201 

.0203- 

.0301- 

.0305 

.0308- 

.0504- 

.0101- 

.0201- 

.0301 

.0303 

.0402 

.0501- 

.0504 

.0601 

.0701 

.0801- 

.0901- 

.0904 

.0909 

.0911 

.0101- 

.0104- 

.0201 

.0205 

.0301- 

.0304- 

.0401- 

.0501- 

.0101- 

.0103 

.0108 

.0111 

.0307 

.0101 

.0103 

.0106 

.0202 

.0204- 



BOARD OF MEDICAL EXAMINERS 
21 NCAC 32B .0101 
.0201 



80 



8E 

8F 
8G 

8K 



.0204 
,0303 

,0309 
,0506 
,0102 
,0205 



,0502 



,0804 
,0902 



,0102 
,0105 



.0302 
.0305 
.0402 
.0502 
,0102 



,0208 



Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Amended 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 

Repealed 



Amended 
Amended 



NORTH CAROLINA REGISTER 



841 



BOARD 


OF 


PHARMACY 


21 




NCAC 


STATE 


PERSONNEL 


25 




NCAC 



46 



.1503 
.2001 
.2401-. 2403 



1C .0413 

ID .0504 

.0507-. 0508 
.0510-. 0517 



OFFICE OF ADMINISTRATIVE HEARINGS 
26 NCAC 3 .0014 
.0021 



Amended 
Amended 
Adopted 



Adopted 
Amended 
Repealed 
Adopted 



Amended 
Amended 



842 



NORTH CAROLINA REGISTER 



TITLE/MAJOR DIVISIONS OF THE NORTH CAROLINA ADMINISTRATIVE CODE 



TITLE 

1 
2 
3 
4 

5 

6 

7 

8 

9 
10 
11 
12 
13 
14A 
15 
16 
17 
18 
19A 
20 
X21 
22 
23 
24 
25 
26 



DEPARTMENT 

Administration^ Department of 

Agriculture > Department of 

Auditor* Department of State 

Commerce/ Department of 

Correct ions > Department of 

Council of State 

Cultural Resources, Department 

Elections/ State Board of 

Governor 

Human Resources, Department of 

Insurance, Department of 

Justice, Department of 

Labor, Department of 

Crime Control, Department of 

Natural Resources and Community Development 

Education, Department of 

Revenue, Department of 

Secretary of State 

Transportation, Department of 

Treasurer, Department of State 

Occupational Licensing Boards 

Administrative Procedures 

Community Colleges, Department of 

Independent Agencies 

Personnel, Department of State 

Office of Administrative Hearings 



NOTEi Title 21 contains the chapters of the various 
occupational licensing boards. 



CHAPTER 



LICENSING BOARD 



2 

4 

6 

8 
10 
12 
14 
16 
18 
20 
21 
22 
26 
28 
30 
31 
32 
33 
34 
36 
37 
38 
40 
42 
44 
46 
48 
50 » 
52 
53 
54 
56 
58 
60 
62 
64 

66 



Architecture, Board of , 

Auctioneers, Commission for 

Barber Examiners, Board of 

Certified Public Accountant Examiners 

Chiropractic Examiners, Board of 

Contractors, Licensing Board for 

Cosmetic Art Examiners, Board of 

Dental Examiners, Board of 

Electrical Contractors, Board of Exauniners 

Foresters, Board of Registration for 

Geologists, Board of 

Hearing Aid Dealers and Fitters Board 

Landscape Architects, Licensing Board of 

Landscape Contractors, Registration Board of 

Law Examiners, Board of 

Martial & Family Therapy Certification Board 

Medical Examiners, Board of 

Midwifery Joint Committee 

Mortuary Science, Board of 

Nursing, Board of 

Nursing Home Administrators, Board of 

Occupational Therapist, Board of 

Opticians, Board of 

Optometry, Board of Examiners in 

Osteopathic Examination and Registration 

Pharmacy, Board of 

Physical Therapy, Examining Committee of 

Plumbing and Heating Contractors, Board of 

Podiatry Examiners, Board of 

Practicing Counselors, Board of 

Practicing Psychologists, Board of 

Professional Engineers and Land Surveyors 

Real Estate Commission 

Refrigeration Examiners, Board of 

Sanitarian Examiners, Board of 

Speech and Language Pathologists and 

Audiologists, Board of Examiners of 
Veterinary Medical Board 



NORTH CAROLINA REGISTER 



843 



CUMULATIVE INDEX 
(April 1, 1986 - March 31, 1987) 



1986 - 1987 
Pages Issue 

1-73 April 

74-97 May 

98-132 June 

133 - 222 July 

223 - 379 August 

380 - 415 September 

416 - 553 October 

554 - 598 November 

599 - 670 December 

671 - 761 January 

762 - 806 February 

807 - 847 March 

AO - Administrative Order 

AG - Attorney General's Opinions 

C - Correction 

E - Errata 

EO - Executive Order ' 

FDL - Final D<3cision Letters 

FR - Final Rule 

GS - General Statute 

JO - Judicial Order 

LRA - List of Rules Affected 

M - Miscellaneous 

NP - Notice of Petitions 

PR - Proposed Rule 

SO - Statements of Organization 

TR - Temporary Rule 

ADMINISTRATION 
Administrative Analysis, 614 PR 
Auxiliary Services, 611 PR, 677 PR 
Clean Water Bond Act, 810 PR 
Council on Children and Youth, 681 PR 
Departmental, 606 PR 
Office of Marine Affairs, 382 PR 
Public Telecommunications, 614 PR 
Purchase and Contract, 423 PR 

State Employees Combined Campaign, 430 PR, 681 PR 
State Property, 677 PR 
Youth Advisory Council, 680 PR 

ADMINISTRATIVE ORDERS 
Beecher Reynolds Gray, 47 AO 
Fred Gilbert Morrison, Jr., 48 AO 
Angela Rebecca Brvant, 49 AO 
Thomas R. West, 50 AO 
Abraham Penn Jones, 98 AO 
Administrative Law Judges, 248 AO 
Margaret Eugenia Rogers, 419 AO 
Kenneth Wayne Patterson, 420 AO 
Robert R. Reilly, Jr., 673 AO 
Dolores Del Gaudio Nesnow, 809 AO 

AGRICULTURE 
Dept. of Agriculture, 250 SO, 558 PR 

Food and Drug Protection Division, 99 PR, 255 PR, 557 PR, 810 PR 
Gasoline and Oil Inspection, 683 PR 
Markets, 559 PR 
Pesticide Board, 811 PR 
Plant Industry, 256 PR 
Standards Division, 558 PR 

844 NORTH CAROLINA REGISTER 



structural Pest Control, 557 PR, 599 C, 768 PR 

ATTORNEY GENERAL'S OPINIONS 
Employee Insurcuice Committees, 603 AG 

COMMERCE 
ABC Commission, 615 PR 
Banking Commission, 689 PR 
Cemetary Commission, 559 PR 

Milk Commission, 74 PR, 135 PR, 260 PR, 689 PR 
Savings and Loan, 78 PR, 560 PR 

COMMUNITY COLLEGES 
Community Colleges, 210 PR, 534 PR 

CORRECTION 
Division of Prisons, 213 FR, 347 FR. 575 FR, 661 FR, 782 FR> 836 FR 
Parole Commission, 663 PR 

CRIME CONTROL & PUBLIC SAFETY 
ALE, 631 PR 

CULTURAL RESOURCES " ■ 

Archives and History, 78 PR 
Battleship Commission, 388 PR 
Roanoke Voyages & Eliz. II, 261 PR 

EDUCATION 
Elementary and Secondary, 779 PR 



EXECUTIVE ORDERS 






Executive Orders 


1-25, 


23 EO 




26, 


247 EO 




27, 


416 EO 




28, 


417 EO 




29, 


554 EO 




30, 


672 EO 




31, 


762 EO 




32, 


807 EO 




33, 


807 EO 



FINAL DECISION LETTERS 
Voting Rights Act, 249 FDL, 421 FDL, 555 FDL, 600 FDL, 674 FDL, 763 FDL 

GENERAL STATUTES 
Chapter 7A, 21 GS, 244 GS 
Chapter 150B, 3 GS, 226 GS, 380 C 
Chapter 1028, 223 GS 

HUMAN RESOURCES 
Child Day Care, 281 PR, 631 PR 
Children Services, 103 PR 
Departmental, 691 PR, 767 SO 
Facility Services, 270 PR 
Food Assistance, 103 PR 

Health Services, 169 PR, 388 PR, 434 PR, 563 PR, 698 PR, 770 PR, 811 PR 
Individual and Family Support, 103 PR, 671 C 
Medical Assistance, 181 PR, 389 PR, 501 PR 
Medical Care Commission, 433 PR, 769 PR 
Medical Services, 101 PR 
Mental Health Retardation 

and Substance Abuse, 80 PR, 298 PR, 350 FR, 380 C, 720 PR, 729 PR 
Services for the Blind, 727 PR 
Social Services, 390 PR, 616 PR 
Youth Services, 85 PR, 309 PR 

INDEPENDENT AGENCIES 
Housing Finance, 658 PR, 740 PR 

INSURANCE 
Agency Services, 313 PR 
Company Operations, 503 PR 

Engineering & Building, 321 PR, 564 PR, 730 PR 
Fire and Casualty, 501 PR 

NORTH CAROLINA REGISTER 845 



Medical Database, 565 PR 

JUDICIAL ORDERS 
Appointment 
Robert A. Melott, 45 JO 

JUSTICE 
Alaria Systems Licensing, 556 SO, 730 PR 
Education and Training Standards, 322 PR 
Police and Information Network, 107 PR 
Private Protective Services, 556 SO, 771 PR 
Sheriff's Education, 332 PR 

LABOR 
Boiler and Pressure Vessel, 86 PR, 189 PR, 338 PR 
Ele.vator Division, 517 PR, 816 PR 

LICENSING BOARD 
Architecture, 734 PR 

C P A Examiners, 112 PR, 133 SO, 529 PR, 734 PR, 781 PR 
Dental Examiners, 399 PR, 533 PR 
General Contractors, 573 PR 
Medical Examiners, 92 PR, 399 PR 
Midwifery Joint Committee, 422 SO 
Mortuary Science t 534 PR 
Nursing, 422 SO, 574 PR 
Occupational Therapy, 206 PR 
Pharmacy, 208 PR 

Plumbing and Heating Contractors, 116 PR 
Real Estate Commission, 401 PR 
Social Work, 653 PR 
Veterinary Medical Board, 341 PR 

LIST OF RULES AFFECTED 
Volume 10, No . 1 

(April 1, 1986), 71 LRA 
Volume 10, No. 2 

(May 1, 1986), 94 LRA 
Volume 10, No. 3 

(June 1, 1986), 127 LRA 
Volume 10, NO. 4 

(July 1, 1986), 217 LRA 
Volume 10, No. 5 

(August 1, 1986), 374 LRA 
Volume 10, No. 6 

(September 1, 1986), 410 LRA 
Volume 10, No. 7 

(October 1, 1986), 548 LRA 
Volume 11, No. 1 

(November 1, 1986), 594 LRA 
Volume 11, No. 2 

(December 1, 1986), 665 LRA 
Volume 11, No. 3 

(January 1, 1987), 755 LRA 
Volume 11, No. 4 

(February 1, 1987), 800 LRA 
Volume 11, No. 5 

(March 1, 1987), 840 LRA 

MISCELLANEOUS 
Federal Rule Amendment, 381 M 

NATURAL RESOURCES AND COMMUNITY DEVELOPMENT 
Natural Resources & Comunity Development, 133 SO 
Coastal Management, 112 FR, 401 FR, 571 PR, 733 PR 
Community Assistance, 831 PR 
Departmental Rules, 109 PR, 118 FR 
Economic Opportunities, 528 PR 
Employmental and Training, 111 PR 
Environmental Management. 88 PR, 190 PR, 339 PR, 396 PR, 520 PR 

632 PR 
Forest Resources, 126 FR 
Marine Fisheries, 191 PR 
Soil and Water, 90 PR, 521 PR 

846 NORTH CAROLINA REGISTER 



Wastewater Treatment, 397 PR 

Wildlife Resources and Water Safety, 110 PR, 205 PR, 340 PR, 398 PR 
422 SO, 527 PR, 634 PR 

NOTICE OF PETITIONS 
Municipal Incorporations, 676 NP 

OFFICE OF ADMINISTRATIVE HEARINGS 
Office of Administrative Hearings, 51 SO 
General, 52 PR, 345 PR 

Hearings Division, 61 PR, 345 PR, 369 FR 
Rules Division, 52 PR, 367 FR 
706 Deferral, 543 PR 

REVENUE 
Corporate Income Tax, 350 FR 
Departmental, 663 FR 

Individual Income Tax, 351 FR, 593 FR, 748 FR 
Intangible Tax, 366 FR 
Motor Fuels Tax, 787 FR 
Sales & Use Tax, 363 FR, 785 FR 

SECRETARY OF STATE 
Notary Public, 91 PR, 367 FR 

STATE PERSONNEL 
State Personnel Commission, 343 PR, 538 PR, 659 PR 

STATE TREASURER 
Local Government Commission, 529 PR 

STATEMENTS OF ORGANIZATION 
Agriculture, 250 SO 
Alarm System Licensing, 556 SO 
CPA Examiners, 133 SO 
Midwifery Joint Committee, 422 SO 

Natural Resources and Community Development, 133 SO 
Nursing, 422 SO 

Office of Administrative Hearings, 51 SO 
Private Protective Services, 556 SO 
Wildlife Resources Commission, 422 SO 

TRANSPORTATION 
Department of Transportation, 213 FR, 367 FR, 546 FR, 754 FR 



NORTH CAROLINA REGISTER 847 



W9LZ nu!|0JB3 qjjoN 'qSloiBy 
99911 jSMBja O d 

sSuueaH aAijBJjsiuiuipv Jo aaujo 



3H 

as 



FOLD HERE 



NORTH CAROLINA REGISTER AND ADMINISTRATIVE CODE 

ORDER FORM 



Please enter my subscription for the North Carolina Register to start with the issue. 

($95.00/year subscription) 

Please enter my subscription for the NCAC in microfiche form starting with the edition. 

(Published in March and October: $40.00 per edition) 

Renew North Carolina Register D Renew NCAC 

Check Enclosed □ Please bill me 

ase make checks payable to Office of Administrative Hearings 

ME ADDRESS 

Y STATE ZIP 

3NE 



;turn to Office of Administrative Hearings - fold at line, staple at bottom and affix postage.) 



CHANGE OF ADDRESS: 



Present Address 



NAME 



ADDRESS 



CITY 



STATE 



ZIP 



2. New Address 



NAME 



ADDRESS 



CITY 



STATE 



ZIP 



Office of Administrative Hearings 

P. O. Drawer 11666 

Raleigh, North Carolina 27604 



THE LAWS^ 



1 5-87 i VP'^ xj- 




tlt^^i 



■i^M55 



840 
UNIU. OF NORTH CftROLlNfl 
AT CHAPEL LAU LIB. 
yftM HECKE-yETTACH BLDG 064 A 
CHAPEL HILL NC 27514-00000